Charles W. Mason

MASON & ASSOCIATES

Los Angeles, CA 90041

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CRD#: 322180

Professional summary

Charles William Mason, CFP®, who also goes by Charlie Mason, is a registered financial advisor currently at MASON & ASSOCIATES, INC. located in Los Angeles, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Charles has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Elder Care

Education Planning

Insurance Planning

Retirement Planning

Investment Planning

Employee and Employer Plan Ben...

Estate Planning

Business Succession Planning

Are you a "fiduciary"?

Yes

Aliases

Charlie 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.

1. Charles W. Mason Insurance, Sole Proprietor, Start Date: 01/01/89, 7474 N Figueroa St., Los Angeles, CA 90041, Insurance Agency, Agent, Not Investment Related, 5 hours per mo, <1 hours per day during trading hours. 2. Noblesville West, LLC, Start Date Date: 02/07/07, 7474 N. Figueroa St., Los Angeles, CA 90041, Office Building Management, Managing Member, Not Investment Related, 10 hours per month, < 1 hours per day during trading hours. 3. Mason Insurance Services, LLC, Start Date: 01/01/2014, 7474 North Figueroa St., Los Angeles, CA 90041, LLC, Insurance Agency, Member, Provide Insurance related services, Not Investment Related, 5 Hours per month, <1 Hour per day during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Mason's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1980

Experience

Current

January 14, 2022 - Present

MASON & ASSOCIATES, INC.

Office #1: 7474 North Figueroa Street Suite 100, Los Angeles, CA 90041

RIA

CRD#: 141303

Los Angeles, CA

Past

December 7, 2015 - December 22, 2021

MUTUAL SECURITIES, INC.

CRD#: 13092

Los Angeles, CA

Past

November 2, 2006 - December 14, 2015

MASON & ASSOCIATES, INC.

RIA

CRD#: 141303

LOS ANGELES, CA

Past

November 2, 2006 - December 17, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

LOS ANGELES, CA

Past

July 8, 1997 - November 2, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

RIA

CRD#: 3600

LOS ANGELES, CA

Past

September 15, 1994 - November 2, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

Past

September 26, 1983 - September 17, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

September 4, 1979 - August 22, 1983

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

June 1, 1971 - August 22, 1989

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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".

MASON & ASSOCIATES, INC.

MASON & ASSOCIATES INSURANCE SERVICES LLC. | TRANSFORMATIVE WEALTH MANAGEMENT | MASON & ASSOCIATES, INC.

CRD#: 141303 / SEC#: 801-67068

RIA

Registered Investment Advisory firm - (8/3/2006 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/14/2022)

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: 10/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 5/24/1971

Registered Representative Examination

Current Firm

MASON & ASSOCIATES, INC.

MASON & ASSOCIATES INSURANCE SERVICES LLC. | TRANSFORMATIVE WEALTH MANAGEMENT | MASON & ASSOCIATES, INC.

CRD#: 141303 / SEC#: 801-67068

RIA

Registered Investment Advisory firm - (8/3/2006 Approved)

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Contact information

Main Address

7474 North Figueroa Street Suite 100, Los Angeles, CA 90041

Mailing Address

Phone number

(323) 254-3072

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A FIRM BROCHURE - TRANSFORMATIVE WEALTH MANAGEMENT (10/22/2025)

ADV 2A FIRM BROCHURE (6/5/2025)

Regulatory assets under management

Total Number of Accounts	1,822
AUM (Assets Under Management)	$ 631,260,155

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Charles W. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Mason's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL SECURITIES, INC.

MASON & ASSOCIATES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, INC.

CETERA WEALTH SERVICES, LLC

SOUTHMARK FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

MASON & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/1993

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 5/24/1971

Current Firm

MASON & ASSOCIATES, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MASON & ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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