Michael D. Mason

J. W. COLE ADVISORS

ROCHESTER, NY 14623

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CRD#: 4414050

Professional summary

Michael David Mason is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Rochester, New York and J.W. COLE FINANCIAL, INC. located in Rochester, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) 01/08/2014 - NON-VARIABLE INSURANCE DBA - MASON WEALTH MANAGEMENT, LLC - THE NEW DBA (MASON WEALTH MANAGEMENT, LLC) WOULD TAKE THE PLACE OF THE CURRENT DBA (MDR INVESTMENT MANAGEMENT) THAT I HAVE BEEN USING. - 100% OF TIME SPENT - ROCHESTER, NY (2) 08/05/2014: NEW YORK LONG TERM CARE BROKERS, LTD - INV REL - 3445 WINTON PLACE, SUITE 116, ROCHESTER, NY 14623 - NON-VARIABLE INSURANCE - START 08/01/2014 - 2 HR/MO ALL DURING SECS TRDG HRS - LIFE, HEALTH, DISABILITY, LONG-TERM CARE (3) 11/02/2016: Mason Wealth Management LLC - DBA - INV REL - 3445 WINTON PLACE, SUITE 116, ROCHESTER, NY 14623 - Start 08/01/2012 - 40 Hr/Mo; 32 Hour(s) During Securities Trading (4) Life & Legacy Planning; 3445 Winton Place, Suite 116 Rochester, NY 14623; START: 02/26/2020; CO-OWNER; PARTNERSHIP; GENERAL PARTNER; SECURE ELECTRONIC STORAGE SERVICE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David 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®

None

Experience

Current

May 8, 2017 - Present

J. W. COLE ADVISORS, INC.

Office #1: 3445 Winton Place Suite 116, Rochester, NY 14623

RIA

CRD#: 112294

ROCHESTER, NY

Current

May 8, 2017 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 3445 Winton Place Suite 116, Rochester, NY 14623

CRD#: 124583

Rochester, NY

Past

August 8, 2012 - May 8, 2017

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

ROCHESTER, NY

Past

December 10, 2007 - March 27, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCHESTER, NY

Past

December 10, 2007 - May 5, 2017

LPL FINANCIAL LLC

CRD#: 6413

ROCHESTER, NY

Past

August 1, 2007 - December 13, 2007

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

ROCHESTER, NY

Past

July 9, 2001 - December 13, 2007

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

ROCHESTER, NY

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/8/2017)

Connecticut
(11/7/2018)

Florida
(5/8/2017)

New York
(5/8/2017)

IAR

New York
(3/30/2021)

Ohio
(5/8/2017)

South Carolina
(5/8/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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

Michael D. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Mason's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

PRIVATE ADVISOR GROUP, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2007

Series 63

Date: 7/20/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/4/2001

Series 6

Date: 7/6/2001

FINRA

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

TRUST BUT VERIFY

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