David C. Masson
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.
David Christian Masson, who also goes by David C Masson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 10 firms and has passed the Series 63, 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
March 9, 2012 - October 15, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 25, 2009 - April 13, 2010
WORLD GROUP SECURITIES, INC.
August 18, 2005 - October 1, 2007
EQUITABLE ADVISORS, LLC
February 24, 2005 - August 12, 2005
HARVEST CAPITAL INVESTMENTS LLC
January 20, 2004 - January 28, 2005
CHASE INVESTMENT SERVICES CORP.
March 18, 2003 - July 23, 2003
WORLD GROUP SECURITIES, INC.
September 18, 1996 - March 21, 2002
CHASE INVESTMENT SERVICES CORP.
August 9, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
March 7, 1994 - May 13, 1996
MARSH, BLOCK & CO. INC.
September 16, 1993 - October 14, 1993
JOSEPHTHAL & CO., INC.
January 4, 1993 - June 9, 1993
WESTFIELD FINANCIAL CORPORATION
November 12, 1992 - December 18, 1992
AMERICAN BOND GROUP, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
