David R. Shira
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Richard Shira was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 1992 - May 11, 2012
MASON SECURITIES, INC.
October 2, 1990 - October 10, 1990
DERAND/PENNINGTON/BASS, INC.
June 5, 1990 - September 5, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 1989 - February 21, 1990
FOCUS II SECURITIES, INC.
October 28, 1988 - November 18, 1989
CADARET, GRANT & CO., INC.
November 6, 1984 - November 16, 1988
FOCUS SECURITIES, INC.
July 26, 1984 - November 8, 1984
VOSS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MASON SECURITIES, INC.
CRD#: 12967 / SEC#: , 8-28378
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASON INTERNATIONAL, INC. | SHAREHOLDER | |
| DELANEY, JOHN MURPHY | CHIEF COMPLIANCE OFFICER | 6877307 |
| GEORGE, SCOTT STANLEY | PRESIDENT, TREASURER AND DIRECTOR | 1399567 |
| MASON, WILLIAM NOYES III | DIRECTOR, VICE-PRESIDENT, AND CHAIRMAN OF THE BOARD | 322341 |
| SCHREINER, CHRISTOPHER LEE | CHIEF OPERATING OFFICER | 3154419 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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