AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MM

Michael J. Mason

BERENBERG CAPITAL MARKETS LLC
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2839703
MM

Professional summary

Michael Jonathan Mason, who also goes by Michael Johathan Mason, is a registered financial professional currently at BERENBERG CAPITAL MARKETS LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Johathan Mason

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) - BD

Click below to view Michael Jonathan Mason's CRS (Customer Relationship Summary).

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

Current

January 8, 2025 - Present

BERENBERG CAPITAL MARKETS LLC

Office #1: 1251 Avenue Of The Americas 53rd Floor, New York, NY 10020
BD
CRD#: 156757
NEW YORK, NY
Past

May 15, 2023 - January 31, 2025

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
NEW YORK, NY
Past

November 30, 2017 - April 19, 2023

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

March 18, 2014 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
NEW YORK, NY
Past

October 8, 2012 - March 7, 2014

ELEVATION, LLC

BD
CRD#: 140341
RED BANK, NJ
Past

May 23, 2011 - August 18, 2011

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

February 6, 2003 - May 31, 2011

THE BENCHMARK COMPANY, LLC

BD
CRD#: 22982
RED BANK, NJ
Past

June 18, 2002 - October 31, 2002

BROKERAGEAMERICA, LLC

BD
CRD#: 47966
NEW YORK, NY
Past

May 18, 1999 - June 28, 2002

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

July 3, 1997 - June 2, 1998

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/8/2025)
RR
Delaware
(1/8/2025)
RR
Florida
(1/8/2025)
RR
Illinois
(1/8/2025)
RR
Louisiana
(1/8/2025)
RR
Maryland
(1/8/2025)
RR
Massachusetts
(1/8/2025)
RR
New York
(1/8/2025)
RR
Ohio
(1/8/2025)
RR
Oregon
(1/8/2025)
RR
Tennessee
(1/8/2025)
RR
Texas
(1/8/2025)
RR
Virginia
(1/8/2025)
RR
Washington
(1/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/27/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/17/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/2/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BERENBERG CAPITAL MARKETS LLC
BERENBERG CAPITAL MARKETS LLC

CRD#: 156757 / SEC#: , 8-68821

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
1251 Avenue Of The Americas 53rd Floor, New York, NY 10020
Mailing Address
1251 Avenue Of The Americas 53rd Floor, New York, NY 10020
Phone number
(646) 949-9000
Established
Delaware since 12/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BERENBERG ASSET MANAGEMENT LLCMEMBER171274
BRANTLY, ZACHARY DALTONBOARD MEMBER6343999
MURPHY, JOHN MCHIEF COMPLIANCE OFFICER1975663
SCHWARTAU, LARSBOARD MEMBER6483384
SHAMALOV, GREGORYFINOP7664290

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.

Company Information

BERENBERG CAPITAL MARKETS LLC

CRD#: 156757New York, NY 10020

TRUST BUT VERIFY

Monitor Michael Mason

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.