Alan M. Mason
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.
Alan Mark Mason, who also goes by Alan M Mason, Alan Mark Mason, Alan Mason, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 15 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2023 - April 7, 2025
BRADLEY WOODS & CO. LTD.
March 23, 2018 - March 14, 2023
WESTPARK CAPITAL, INC.
March 22, 2018 - September 27, 2022
WESTPARK CAPITAL, INC.
January 4, 2016 - July 21, 2016
WILMINGTON CAPITAL SECURITIES, LLC
July 28, 2015 - July 21, 2016
WILMINGTON CAPITAL SECURITIES, LLC
August 20, 2012 - July 30, 2015
FOREFRONT CAPITAL MARKETS LLC
March 31, 2010 - August 21, 2012
J.H. DARBIE & CO., INC.
August 15, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC
June 14, 2004 - March 29, 2010
GUNNALLEN FINANCIAL, INC
April 29, 2002 - June 16, 2004
RYAN BECK & CO.
August 30, 2000 - May 17, 2002
GRUNTAL & CO., L.L.C.
October 1, 1999 - August 25, 2000
WELLS FARGO CLEARING SERVICES, LLC
May 22, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 17, 1995 - May 24, 1999
JANNEY MONTGOMERY SCOTT LLC
April 21, 1993 - May 22, 1995
UBS FINANCIAL SERVICES INC.
June 5, 1990 - April 27, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1985 - June 26, 1990
LEHMAN BROTHERS INC.
November 21, 1984 - July 31, 1985
MORGAN STANLEY DW 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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 8
Date: 10/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BRADLEY WOODS & CO. LTD.
CRD#: 13660 / SEC#: , 8-28862
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
