Thomas D. 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.
Thomas Dilworth Stewart Mason, who also goes by Thomas D Stewart Mason, Thomas Dilworth Mason, Tommy Mason, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2017 - December 31, 2017
REGISTER FINANCIAL ASSOCIATES, INC.
December 12, 2005 - December 6, 2017
GROVE POINT INVESTMENTS, LLC
September 25, 2001 - December 12, 2005
NATIONAL PLANNING CORPORATION
August 21, 1997 - September 26, 2001
IFG NETWORK SECURITIES, INC.
January 31, 1997 - August 25, 1997
OSAIC WEALTH, INC.
May 22, 1992 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
November 29, 1989 - June 1, 1992
KIDDER, PEABODY & CO. INCORPORATED
July 23, 1986 - December 12, 1989
LEHMAN BROTHERS 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
REGISTER FINANCIAL ASSOCIATES, INC.
CRD#: 30568 / SEC#: , 8-45012
Contact information
FINRA licenses (38 States and Territories)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
