Mason D. Newman

Some features on this profile are disabled

CRD#: 2174722

Professional summary

Mason David Newman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mason is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Mason had worked at 12 firms, which includes HUNTER SCOTT FINANCIAL LLC., LH ROSS & COMPANY INC., SALOMON GREY FINANCIAL CORPORATION, BARRON CHASE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., M.S. FARRELL & COMPANY INC., NICHOLS SAFINA LERNER & CO. INC., THE BOSTON GROUP, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JOSEPH CHARLES & ASSOC. INC., ROBERT TODD FINANCIAL CORP., GRUNTAL & CO. L.L.C..

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 21, 2004 - August 24, 2005

HUNTER SCOTT FINANCIAL LLC.

CRD#: 45559

DELRAY BH, FL

Past

August 14, 2001 - June 23, 2004

LH ROSS & COMPANY, INC.

CRD#: 37920

BOCA RATON, FL

Past

November 15, 2000 - September 10, 2001

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

November 4, 1998 - November 15, 2000

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

December 10, 1997 - September 24, 1998

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

July 16, 1997 - November 17, 1997

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

Past

February 18, 1997 - July 24, 1997

NICHOLS, SAFINA, LERNER & CO. INC.

CRD#: 35476

NEW YORK, NY

Past

August 29, 1996 - April 21, 1997

THE BOSTON GROUP

CRD#: 37652

LOS ANGELES, CA

Past

March 8, 1995 - July 26, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

August 19, 1994 - September 30, 1994

JOSEPH CHARLES & ASSOC., INC.

CRD#: 3949

BOCA RATON, FL

Past

February 9, 1994 - May 26, 1994

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

February 11, 1993 - October 27, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/5/1993

General Securities Representative Examination

Current Firm

HUNTER SCOTT FINANCIAL LLC.

HUNTER SCOTT FINANCIAL , LLC | PLATINUM CAPITAL, L.C. | HUNTER SCOTT FINANCIAL LLC.

CRD#: 45559 / SEC#: , 8-51097

Terminated by SEC on 09/22/2014

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 03/16/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
HUNTER SCOTT FINANCIAL, INC.	GENERAL PARTNER
FISCHER, KAREN ZILLIA	FINANCIAL & OPERATIONS PRINCIPAL	1708090
GOUZOS, PETER ALEX	EXECUTIVE REPRESENTATIVE/PRESIDENT/CEO	1959666
HUGHES, CHARLES WOODS	DOC, DOO, CCO, BM-DELRAY	2759373

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mason D. Newman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LH ROSS & COMPANY, INC.

SALOMON GREY FINANCIAL CORPORATION

BARRON CHASE SECURITIES, INC.

J.P. TURNER & COMPANY, L.L.C.

M.S. FARRELL & COMPANY, INC.

NICHOLS, SAFINA, LERNER & CO. INC.

THE BOSTON GROUP

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JOSEPH CHARLES & ASSOC., INC.

ROBERT TODD FINANCIAL CORP.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/1993

Series 7

Date: 2/5/1993

Current Firm

HUNTER SCOTT FINANCIAL LLC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HUNTER SCOTT FINANCIAL LLC.

TRUST BUT VERIFY

Similar Advisors