WM
William G. Mason
STIFEL, NICOLAUS & COMPANY
New Orleans, LA 70113
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CRD#: 1863783
WM
Professional summary
William Geary Mason, who also goes by Geary Mason, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New Orleans, Louisiana.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Geary Mason
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. IRIS CLUB; P.O. BOX 56005 NEW ORLEANS LA 70156; NEW ORLEANS MARDI GRAS KREWE; VICE PRESIDENT; ASSIST WITH PLANNING AND EXECUTING A MARDI GRAS BALL; AFFILIATION STARTED 05/16/2012; 2 HOURS PER QUARTER; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 2. Lee Monument Association; Non profit- historical preservation; President; overseeing initial organization; 10/16/2017; 2.0 hours per week; not during securities trading hours; Not Investment-Related 3. Cincinnatus Club; P.O. Box 24250 New Orleans LA 70184; Mardi Gras krewe; Board Member; Attend monthly board meetings and participate as necessary; 01/01/2018; 1.00 Hour(s) Per Week; not during securities trading hours; Not Investment-Related 4. New Orleans Sigma Alpha Epsilon Alumni Association; 3516 Magazine St., LA, 70115; softball tournament coordinator; 06/01/1986; 2.00 Hour(s) Per Month - not during securities trading hours; Not Investment-Related 5. Monumental Task Committee; 1215 Prytania St. #333 New Orleans LA 70130; historic preservation of statues, monuments and memorials; Vice President; assist the President and various committees; 08/17/2015; 1.00 Hour(s) Per Week; not during securities trading hours; Not Investment-Related 6. Louisiana Epsilon Alumni Association of Sigma Alpha, Epsilon; PO Box 57403, New Orleans, LA 70157; College fraternity alumni association (LSU); Board of Directors; Providing ideas and suggestions for attracting members; 12/31/2021; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 7. Northshore Radio ( WGSO Radio ); 330 Carondelet Street 2nd floor New Orleans LA 70130; 501c3 non profit community broadcaster in greater New Orleans area; Board of Directors member; 05/01/2024; 1.00hr/week; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view William Geary Mason's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Geary 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
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 639 Loyola Avenue Suite 200, New Orleans, LA 70113RIA
BD
CRD#: 793
New Orleans, LA
Current
July 7, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 639 Loyola Avenue Suite 200, New Orleans, LA 70113RIA
BD
CRD#: 793
New Orleans, LA
Past
October 23, 2009 - July 7, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
NEW ORLEANS, LA
Past
October 20, 2009 - July 7, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
NEW ORLEANS, LA
Past
January 30, 1990 - August 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW ORLEANS, LA
Past
August 25, 1988 - August 18, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW ORLEANS, LA
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(7/7/2015)
RR
Arizona(8/26/2016)
RR
Arkansas(7/7/2015)
RR
California(2/1/2018)
RR
Colorado(1/8/2020)
RR
Florida(7/7/2015)
RR
Georgia(7/7/2015)
RR
Idaho(7/16/2025)
RR
Louisiana(7/7/2015)
IAR
Louisiana(7/7/2015)
RR
Maryland(2/10/2017)
RR
Mississippi(7/7/2015)
RR
Missouri(10/20/2025)
RR
New York(7/7/2015)
RR
North Carolina(7/7/2015)
RR
Ohio(7/7/2015)
RR
South Carolina(3/15/2024)
RR
Tennessee(7/7/2015)
RR
Texas(7/7/2015)
IAR
Texas(2/6/2018)
RR
Utah(7/7/2015)
RR
Washington(7/22/2024)
RR
Wisconsin(12/5/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793New Orleans, LA 70113TRUST BUT VERIFY
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