RM
Randall J. Mason
CETERA INVESTMENT ADVISERS LLC
CENTENNIAL, CO
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CRD#: 1758777
RM
Professional summary
Randall John Mason is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Centennial, Colorado and CETERA ADVISORS LLC located in Centennial, Colorado.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Randall has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.DBA: CIRRUS FINANCIAL GROUP INC., INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, FINANCIAL AND INSURANCE SERVICES, BUSINESS, START 1991, 40 HOURS PER WEEK - DURING TRADING HOURS, PRESIDENT, REGISTERED REPRESENTATIVE. 2.FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START FEBRUARY 2015, 2 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LONG-TERM CARE, CROP, PROPERTY AND CASUALTY, AND AUTO. 3. NAME OF OTHER BUSINESS: PBR STREET GANG LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL ADDRESS, NATURE OF BUSINESS: PERSONAL LLC FOR HOLDINGS, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF TRADING HOURS PER WEEK: 1, POSITION/TITLE/RELATIONSHIP: MANAGER & 50% OWNER, BRIEF DESCRIPTION OF DUTIES: TAXES AND OPERATION OF LLC; 4. NAME OF OTHER BUSINESS: MASON INSURANCE INC.; INVESTMENT RELATED: YES; ADDRESS: 110 E. C STREET, MCCOOK, NE 69001; NATURE OF BUSINESS: INSURANCE; START DATE: 04/2017; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: MANAGING THE CURRENT BUSINESS AND SELLING COMPANY; 5. NAME OF OTHER BUSINESS: TERRAIN INC. LANDSCAPE COMPANY; INVESTMENT RELATED: NO; ADDRESS: 575 LIPAN ST, DENVER, CO 80204; NATURE OF BUSINESS: MARKETING & DESIGN; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: MARKET/DESIGN ASSOCIATE; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: HELP WITH MARKETING DUTIES, MAILERS, EMAIL, WEBSITE DESIGN, & SOME DESIGN WORK;
CRS (Client Relationship Summary) - RIA
Click below to view Randall John Mason's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CENTENNIAL, CO
Current
February 17, 2015 - Present
CETERA ADVISORS LLC
Office #1: 6855 S Havana St Ste 270, Centennial, CO 80112BD
CRD#: 10299
Centennial, CO
Past
February 17, 2015 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
March 9, 2002 - February 17, 2015
SPC
RIA
CRD#: 110692
CENTENNIAL, CO
Past
February 9, 2002 - February 17, 2015
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
CENTENNIAL, CO
Past
January 30, 1998 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
December 16, 1993 - January 29, 1998
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
EDEN PRAIRIE, MN
Past
January 3, 1992 - December 22, 1993
GLOBAL FINANCIAL GROUP, INC.
BD
CRD#: 23958
MINNEAPOLIS, MN
Past
July 24, 1989 - January 15, 1992
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/29/2023)
RR
Arizona(1/19/2017)
RR
Colorado(2/17/2015)
IAR
Colorado(3/21/2024)
RR
Florida(3/19/2015)
RR
Illinois(9/18/2025)
RR
Michigan(5/15/2025)
RR
Nebraska(2/17/2015)
RR
Ohio(5/2/2017)
RR
Oklahoma(2/17/2015)
RR
South Carolina(10/21/2021)
RR
Wisconsin(1/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
