Andrew Mack: FINRA Suspends Former AGP Advisor

Former Greenwich, Connecticut financial advisor Andrew Mack (CRD# 5932062) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Raymond James Financial Services, before which he was registered with Alliance Global Partners. He did business as Tempus Advisors.

A Letter of Acceptance, Waiver, and Consent (No. 2023077059101) describes FINRA’s disciplinary action against Mr. Mack. Filed in July 2025, it states that FINRA found he violated industry rules by exercising discretion without written authorization in approximately 1,700 trades in 84 customer accounts. “Although the customers understood that Mack was conducting trading in their accounts,” the Letter states, “none had given him prior written authorization and A.G.P. / Alliance Global Partners had not accepted the accounts as discretionary.”

During the period in question, from May 2021 until July 2023, he was on a heightened supervision plan under which he was forbidden from exercising discretion in customer accounts. Despite this, FINRA found, “he placed approximately 230 of the discretionary trades without written authorization in 34 customer accounts during that time.” In addition, he allegedly stated on three annual firm compliance questionnaires that he had not exercised discretion in customer accounts. Finding that he violated Rules 3260(b) and 2010, FINRA suspended him for three months and imposed a fine of $10,000.

According to the Financial Industry Regulatory Authority, Andrew Mack holds 11 years of securities industry experience. Most recently based in Greenwich, Connecticut, he was last registered with Raymond James Financial Services from January until April 2025. His previous registrations include Alliance Global Partners (2020-2024), Aegis Capital Corporation (2017-2020), National Securities Corporation (2016-2017), and Laidlaw & Company (2012-2016). His credentials include the passage of four securities industry qualifying exams: the Uniform Investment Adviser Law Examination, or Series 65; the Uniform Securities Agent State Law Examination, or Series 63; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. He is no longer licensed with any state or firm. (Information current as of July 24, 2025.)

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