Andrew M. 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.
Andrew Michael Mason, who also goes by Drew Mason, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 8 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - May 4, 2015
DILLON - GAGE SECURITIES, INC.
September 16, 2015 - January 27, 2016
DILLON - GAGE SECURITIES, INC.
March 29, 2012 - February 25, 2013
CV BROKERAGE, INC
June 15, 2011 - March 8, 2012
1792 SECURITIES, LLC
June 9, 2011 - December 31, 2011
EPS ADVISORS
February 27, 2009 - July 16, 2009
BARCLAYS CAPITAL INC.
September 22, 2008 - July 16, 2009
BARCLAYS CAPITAL INC.
September 23, 2004 - October 15, 2008
LEHMAN BROTHERS INC.
August 13, 2002 - September 22, 2008
LEHMAN BROTHERS INC.
November 3, 1999 - September 9, 2002
CREDIT SUISSE SECURITIES (USA) LLC
July 15, 1996 - November 10, 1999
UBS FINANCIAL 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
Current Firm
DILLON - GAGE SECURITIES, INC.
CRD#: 10821 / SEC#: , 8-27126
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
