Scott D. Mason

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CRD#: 3270983

Professional summary

Scott David Mason was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Scott is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Scott had worked at 11 firms, which includes OCEAN VIEW CAPITAL LLC, STERLING CAPITAL MANAGEMENT INC., MERRIMAC CORPORATE SECURITIES INC., J P TURNER & COMPANY CAPITAL MANAGEMENT LLC, J.P. TURNER & COMPANY L.L.C., 1ST WORLDWIDE FINANCIAL PARTNERS LLC, INVESTACORP INC., MM ASCEND LIFE INVESTOR SERVICES LLC, PMG SECURITIES CORPORATION, THE HUNTINGTON INVESTMENT COMPANY, FIRST UNION BROKERAGE SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Burry Mason | Scott D Mason | Scott 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 28, 2011 - May 31, 2011

OCEAN VIEW CAPITAL, LLC

CRD#: 148616

RANCHO SANTA FE, CA

Past

September 24, 2009 - May 12, 2014

STERLING CAPITAL MANAGEMENT, INC.

RIA

CRD#: 151102

DELAND, FL

Past

July 21, 2009 - January 30, 2012

MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463

DELAND, FL

Past

April 13, 2009 - August 7, 2009

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

DELAND, FL

Past

April 13, 2009 - August 7, 2009

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

DELAND, FL

Past

October 5, 2006 - April 15, 2009

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

CRD#: 132038

DELAND, FL

Past

September 7, 2006 - November 1, 2006

INVESTACORP, INC.

CRD#: 7684

DELAND, FL

Past

February 15, 2005 - October 5, 2006

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

DELAND, FL

Past

November 20, 2001 - February 15, 2005

PMG SECURITIES CORPORATION

CRD#: 27107

ELGIN, IL

Past

March 23, 2000 - September 14, 2000

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

August 31, 1999 - February 10, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/30/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/12/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

OCEAN VIEW CAPITAL, LLC

OCEAN VIEW CAPITAL, LLC | OCEANVIEW CAPITAL, LLC

CRD#: 148616 / SEC#: , 8-68045

Terminated by SEC on 12/27/2011

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/05/2008

Firm type

Limited Liability Company

Fiscal year end

March

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
INDIGO INVESTMENT GROUP INC	MEMBER
HYATT, LISA RENE	MANAGING PARTNER & CEO	4586164
CARSON, WILLIAM HUGH	FINOP	722967
KATSAFAROS, GUS PETER	COO	2552810
LARSON, ROBERT JEROME	DIRECTOR OF COMPLIANCE & CCO	1565322

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Scott D. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STERLING CAPITAL MANAGEMENT, INC.

MERRIMAC CORPORATE SECURITIES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

INVESTACORP, INC.

MM ASCEND LIFE INVESTOR SERVICES, LLC

PMG SECURITIES CORPORATION

THE HUNTINGTON INVESTMENT COMPANY

FIRST UNION BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2008

Series 63

Date: 10/5/1999

Series 6

Date: 8/30/1999

Series 26

Date: 3/12/2003

Current Firm

OCEAN VIEW CAPITAL, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

OCEAN VIEW CAPITAL, LLC

TRUST BUT VERIFY

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