Roy J. 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.
Roy Jay Mason SR, who also goes by Roy Jay Mason, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1969. Roy had worked at 3 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2002 - June 14, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 25, 1998 - April 3, 2019
OSAIC FA, INC.
April 16, 1969 - October 25, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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
Series 1
Date: 4/12/1969
Registered Representative ExaminationCurrent Firm
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD#: 2580 / SEC#: , 8-13034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN NATIONAL CORPORATION | HOLDING COMPANY | |
| CRAWFORD, FREDRICK JOHN | CHIEF FINANCIAL OFFICER, DIRECTOR | 4443207 |
| FREDERICK, CHRISTINE SPENCER | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2641636 |
| GLASS, DENNIS R | PRESIDENT, DIRECTOR | 2897098 |
| KONEN, MARK E | DIRECTOR | 5150090 |
| QUEK, SEE YENG | DIRECTOR | 1938493 |
| RYAN, KEITH JAMES | VICE PRESIDENT AND DIRECTOR | 2709700 |
Disclosures
| Regulatory Event | 14 |
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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