Wayne R. 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.
Wayne Richard Mason, who also goes by W Richard Mason, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1993. Wayne had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 28, Series 4 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
July 30, 1998 - April 23, 2015
MFD DISTRIBUTOR, LLC
March 15, 1993 - September 8, 1998
GIT INVESTMENT SERVICES, 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
Series 28
Date: 8/13/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MFD DISTRIBUTOR, LLC
CRD#: 44930 / SEC#: , 8-50894
Contact information
FINRA licenses (51 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.
