Lloyd W. 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.
Lloyd Wesley Mason was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1986. Lloyd had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7, 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 5, 2009 - July 2, 2012
LLOYD WESLEY MASON, JR.
September 11, 1991 - March 20, 1997
UBS FINANCIAL SERVICES INC.
October 18, 1986 - April 30, 1990
PRUDENTIAL-BACHE CAPITAL FUNDING PUERTO RICO INC.
February 19, 1986 - October 12, 1989
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 12/12/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LLOYD WESLEY MASON, JR.
CRD#: 114161 / SEC#:
Contact information
Red Flags
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