Christopher W. 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.
Christopher Warren Mason was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2023 - May 3, 2024
AARON WEALTH ADVISORS
June 15, 2010 - July 24, 2012
J.P. MORGAN SECURITIES LLC
February 23, 2009 - April 14, 2010
UBS FINANCIAL SERVICES INC.
January 9, 1999 - February 24, 2009
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
AARON WEALTH ADVISORS
CRD#: 298079 / SEC#: 801-113938
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
AARON WEALTH ADVISORS
CRD#: 298079 / SEC#: 801-113938
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,341 |
| AUM (Assets Under Management) | $ 2,607,024,926 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 |
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.
