James 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.
James Christopher Mason, who also goes by Chris Mason, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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
September 6, 2017 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
September 1, 2017 - December 31, 2019
KMS FINANCIAL SERVICES, INC.
November 2, 2010 - September 1, 2015
SIGNATOR FINANCIAL SERVICES, INC.
November 1, 2010 - September 1, 2015
SIGNATOR FINANCIAL SERVICES, INC.
October 3, 2007 - November 1, 2010
INSPHERE SECURITIES, INC.
August 16, 2007 - October 3, 2007
ALLEGIS ADVISORS, INC.
August 15, 2007 - November 1, 2010
INSPHERE SECURITIES, INC.
December 18, 2002 - August 10, 2007
EQUITY SERVICES, INC.
February 12, 1998 - December 13, 2002
MONY SECURITIES CORPORATION
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
