Antony Mason

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CRD#: 322158

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.

Antony Mason SR, who also goes by Antony Mason, Tony Mason, was a registered financial professional .

Antony is a previously registered financial professional and started their career in finance in 1970. Antony had worked at 12 firms and has passed the Series 63, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Antony Mason | Tony 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2017 - July 1, 2020

AEGIS CAPITAL CORP.

CRD#: 15007

Rochelle Park, NJ

Past

April 4, 2012 - February 17, 2017

NATIONAL SECURITIES CORPORATION

CRD#: 7569

PARAMUS, NJ

Past

September 5, 2008 - April 11, 2012

OSAIC FS, INC.

CRD#: 3870

PARAMUS, NJ

Past

August 18, 2005 - October 3, 2008

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PARAMUS, NJ

Past

April 30, 2003 - August 24, 2005

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

May 6, 2002 - May 1, 2003

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

June 4, 1996 - April 30, 2002

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

January 6, 1989 - June 5, 1996

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

July 29, 1983 - January 4, 1989

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

December 29, 1982 - July 28, 1983

BACON, WHIPPLE & CO., INC.

CRD#: 8001

Past

April 24, 1974 - March 7, 1983

BACON, WHIPPLE & CO.

CRD#: 67

Past

November 12, 1970 - April 29, 1974

W. E. HUTTON & CO.

CRD#: 861

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AEGIS CAPITAL CORP.

CRD#: 15007 / SEC#: 801-71386, 8-31616

RIA

Registered Investment Advisory firm - SEC (5/10/2010 Approved)

California

Registered Investment Advisory firm - SEC (5/26/2010 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (1/12/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/21/2011 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2014 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (10/28/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (11/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/5/2014 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/23/2011 Terminated)

Washington

Registered Investment Advisory firm - SEC (9/15/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (9/13/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/29/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/1/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/4/1959

Registered Representative Examination

Current Firm

AEGIS CAPITAL CORP.

CRD#: 15007 / SEC#: 801-71386, 8-31616

RIA

Registered Investment Advisory firm - SEC (5/10/2010 Approved)

California

Registered Investment Advisory firm - SEC (5/26/2010 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (1/12/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

Georgia

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (6/21/2011 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2014 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (10/28/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (11/7/2014 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/5/2014 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

New York

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (6/11/2010 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/23/2011 Terminated)

Washington

Registered Investment Advisory firm - SEC (9/15/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (9/13/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1345 Avenue Of The Americas 27th Floor, New York, NY 10105

Mailing Address

1345 Avenue Of The Americas 27th Floor, New York, NY 10105

Phone number

(212) 813-1010

Established

New York since 01/15/1984

Firm type

Corporation

Fiscal year end

November

Firm Size

Medium

# of Employees

270

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2-3-2025 (2/27/2025)

Direct owners and executive officers

Name	Position	CRD#
AEGIS CAPITAL HOLDING CORP.	HOLDING COMPANY
EIDE, ROBERT JAY	CEO, SECRETARY, CLO, DIRECTOR	1015261
FEINMAN, ROBERT STEVEN	CHIEF COMPLIANCE OFFICER	205708
KOTT, GEORGE GREGORY	CHIEF OPERATING OFFICER	2876578
MCKENNA, FRANCIS J	MUNICIPAL PRINCIPAL	4825383
MILLER, JOHN STEVENSON	CO-FINOP	2139980
POSS, THOMAS CHAMPNEY	CHIEF FINANCIAL OFFICER, CO-FINOP	2547521

Regulatory assets under management

Total Number of Accounts	2,760
AUM (Assets Under Management)	$ 1,430,612,106

Disclosures

Regulatory Event	40
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Antony Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

OSAIC FS, INC.

CETERA WEALTH SERVICES, LLC

FIRST MONTAUK SECURITIES CORP.

RYAN BECK & CO.

BRILL SECURITIES, INC.

GRUNTAL & CO., L.L.C.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BACON, WHIPPLE & CO., INC.

BACON, WHIPPLE & CO.

W. E. HUTTON & CO.

Primary Firm SEC Registration

AEGIS CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/29/1989

SIE

Date: 10/1/2018

PC

Date: 9/1/1977

Series 1

Date: 12/4/1959

Current Firm

AEGIS CAPITAL CORP.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AEGIS CAPITAL CORP.

TRUST BUT VERIFY

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