Laura J. 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.
Laura Joan Mason, who also goes by Laura J Beatty, Laura Joan Beatty, Laura J Mason, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1987. Laura had worked at 5 firms and has passed the Series 63, SIE 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
May 2, 2017 - May 30, 2025
FIRST CITIZENS CAPITAL SECURITIES, LLC
May 29, 2007 - October 26, 2015
CITIGROUP GLOBAL MARKETS INC.
April 11, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 18, 2002 - September 5, 2003
QUICK & REILLY, INC.
December 4, 1998 - December 6, 2000
CITICORP INVESTMENT SERVICES
November 17, 1987 - June 20, 1997
CITICORP SECURITIES, 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
FIRST CITIZENS CAPITAL SECURITIES, LLC
CRD#: 41504 / SEC#: , 8-49466
Contact information
FINRA licenses (49 States and Territories)
Documents
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.
