Reginald P. 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.
Reginald Perez Mason was a registered financial advisor .
Reginald is a previously registered financial advisor and started their career in finance in 2000. Reginald had worked at 5 firms and has passed the Series 66, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2006 - December 19, 2006
PRIVATE EQUITY SECURITIES, INC.
January 31, 2006 - December 31, 2007
SOLOMON DAVID CAPITAL ADVISERS & CO
January 4, 2006 - December 31, 2006
SOLOMON DAVID CAPITAL ADVISERS & CO
January 3, 2003 - March 8, 2005
CHICAGO INVESTMENT GROUP, LLC
July 8, 2002 - July 18, 2002
EVENTURELINK SECURITIES INC.
November 15, 2000 - January 23, 2001
MORGAN STANLEY DW 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
Current Firm
PRIVATE EQUITY SECURITIES, INC.
CRD#: 136817 / SEC#: , 8-67049
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOWELL, RON WILLIAM | PRESIDENT, CCO, CFO, FINOP, AMLCO, EXECUTIVE REPRESENTATIVE | 2895047 |
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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