DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

THOMAS MICHAEL MACK

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e8d7c37f-b488-363b-4c2d-980203b637d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 10, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 10, 1993
First registration: Sep 19, 2002
Dual registered: yes, broker-dealer
Other names: TOM MACK
IAPD individual key: 2344680

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jul 18, 2014	n/a	yes	HOUSTON, TX	Current employment
WELLS FARGO ADVISORS	Wirehouse	May 17, 2011	Jun 23, 2014	no	PUNTA GORDA, FL\|VENICE, FL	Previous registration
JHS CAPITAL ADVISORS, LLC	Former SEC adviser	Aug 31, 2010	May 16, 2011	no	LITTLE ROCK, AR\|TAMPA, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 20, 2010	no	Little Rock, AR	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Sep 14, 2004	Jun 1, 2009	no	LITTLE ROCK, AR	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 19, 2002	Oct 1, 2004	no	LEXINGTON, KY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jun 23, 2014	Jul 18, 2014	25	Firm change	Other
JHS CAPITAL ADVISORS, LLC	WELLS FARGO ADVISORS	May 16, 2011	May 17, 2011	1	Firm change	Other
MORGAN STANLEY	JHS CAPITAL ADVISORS, LLC	Sep 20, 2010	Aug 31, 2010	-20	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Oct 1, 2004	Sep 14, 2004	-17	Firm change	Other

Relationships

Registered with (6)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Jul 18, 2014 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 17, 2011 to Jun 23, 2014factForm ADV
→ JHS CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 31, 2010 to May 16, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 20, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Sep 14, 2004 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 19, 2002 to Oct 1, 2004factForm ADV

Dated events

No dated event names this entity yet.