Casey W. Mason
Professional summary
Casey Wayne Mason is a registered financial advisor currently at TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS located in Dallas, Texas and TCBI SECURITIES, INC. located in Dallas, Texas.
Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Casey has worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Casey Wayne Mason's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 31, 2023 - Present
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
Office #1: 2000 Mckinney Avenue Suite 1800, Dallas, TX 75201April 28, 2022 - Present
TCBI SECURITIES, INC.
Office #1: 2000 Mckinney Avenue Suite 700, Dallas, TX 75201August 30, 2021 - April 26, 2022
HILLTOP SECURITIES INC.
August 30, 2021 - April 26, 2022
HILLTOP SECURITIES INC.
May 12, 2021 - August 18, 2021
PKS ADVISORY SERVICES, LLC
May 12, 2021 - August 18, 2021
PURSHE KAPLAN STERLING INVESTMENTS
October 25, 2019 - February 10, 2021
AVANTAX ADVISORY SERVICES
October 25, 2019 - February 10, 2021
AVANTAX INVESTMENT SERVICES, INC.
June 13, 2019 - October 25, 2019
1ST GLOBAL ADVISORS INC
December 3, 2014 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
January 2, 2013 - September 4, 2014
CAPIS
July 20, 2006 - September 19, 2012
UBS FINANCIAL SERVICES INC.
July 20, 2006 - September 19, 2012
UBS FINANCIAL SERVICES INC.
February 6, 2006 - July 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 6, 2006 - July 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 18, 2004 - February 2, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 2004 - February 2, 2006
IDS LIFE INSURANCE COMPANY
June 18, 2004 - February 2, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
August 29, 2002 - June 2, 2004
MORGAN STANLEY DW INC.
August 29, 2002 - June 2, 2004
MORGAN STANLEY DW INC.
April 9, 2001 - August 22, 2002
RBC CAPITAL MARKETS, LLC
October 15, 1998 - May 16, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422Dallas, TX 75201TRUST BUT VERIFY
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