Richard C. 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.
Richard C Mason, who also goes by Rich Mason, Richard Clendinning Mason, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
January 31, 2022 - July 31, 2023
CHARLES SCHWAB & CO., INC.
January 26, 2022 - July 31, 2023
CHARLES SCHWAB & CO., INC.
March 10, 2017 - October 14, 2022
TD AMERITRADE, INC.
March 10, 2017 - July 31, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 10, 2017 - July 31, 2023
TD AMERITRADE, INC.
March 24, 2016 - February 17, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
March 23, 2016 - February 17, 2017
ALLSTATE FINANCIAL SERVICES, LLC
March 28, 2011 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2011 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2010 - January 26, 2011
BB&T INVESTMENT SERVICES, INC.
February 16, 2010 - January 26, 2011
BB&T INVESTMENT SERVICES, INC.
February 13, 2007 - February 17, 2010
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - February 17, 2010
MORGAN KEEGAN & COMPANY, LLC
June 15, 2004 - February 13, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
April 29, 2004 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
December 17, 2002 - April 20, 2004
CETERA ADVISORS LLC
December 17, 2002 - April 20, 2004
CETERA ADVISORS LLC
May 6, 2002 - April 30, 2004
VOYA FINANCIAL PARTNERS, LLC
May 2, 2002 - April 30, 2004
VOYA FINANCIAL PARTNERS, LLC
July 13, 2001 - April 16, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 13, 2001 - April 16, 2002
OSAIC FA, INC.
March 11, 1999 - July 19, 2001
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 31, 1996 - November 19, 1997
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
