Charles S. Mas
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.
Charles Samuel Mas, who also goes by Charlie Mas, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
April 27, 2017 - March 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
April 27, 2017 - March 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
August 26, 2015 - February 14, 2017
VALMARK SECURITIES, INC.
February 2, 2015 - July 28, 2015
FORESTERS FINANCIAL SERVICES, INC.
January 29, 2015 - July 28, 2015
FORESTERS ADVISORY SERVICES, LLC
June 5, 2012 - March 20, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2012 - March 20, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 2012 - June 7, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
April 23, 2012 - June 7, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
March 10, 2010 - December 14, 2011
CHASE INVESTMENT SERVICES CORP.
March 10, 2010 - December 14, 2011
CHASE INVESTMENT SERVICES CORP.
March 3, 2004 - January 22, 2010
KMS FINANCIAL SERVICES, INC.
March 3, 2004 - January 22, 2010
KMS FINANCIAL SERVICES, INC.
April 21, 2003 - November 28, 2003
INVESTMENT CENTERS OF AMERICA, INC.
March 24, 2003 - November 28, 2003
INVESTMENT CENTERS OF AMERICA, INC.
December 26, 2000 - March 18, 2003
OLSON INVESTMENT ADVISORS, LLC
May 19, 2000 - February 3, 2003
FIRST ALLIED SECURITIES, INC.
March 27, 1997 - September 18, 1998
FIRST ALLIED SECURITIES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
Company Information
AMERIPRISE FINANCIAL SERVICES, LLC
Financial AdvisorCRD#: 6363TRUST BUT VERIFY
Monitor Charles Mas
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