Mason E. Freelin

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CRD#: 4861264

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.

Mason Erin Freelin was a registered financial professional .

Mason is a previously registered financial professional and started their career in finance in 2005. Mason had 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"?

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.

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 27, 2016 - April 20, 2017

NORRIS FINANCIAL GROUP, LLC

RIA

CRD#: 129422

GREENVILLE, SC

Past

October 20, 2011 - February 4, 2016

OSAIC WEALTH, INC.

RIA

CRD#: 23131

GREENVILLE, SC

Past

September 8, 2011 - March 6, 2017

OSAIC WEALTH, INC.

CRD#: 23131

GREENVILLE, SC

Past

June 1, 2009 - June 8, 2011

MORGAN STANLEY

RIA

CRD#: 149777

MACON, GA

Past

June 1, 2009 - June 8, 2011

MORGAN STANLEY

CRD#: 149777

MACON, GA

Past

May 8, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MACON, GA

Past

April 17, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MACON, GA

Past

March 18, 2005 - September 21, 2005

GPC SECURITIES, INC.

CRD#: 14007

ATLANTA, GA

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".

NORRIS FINANCIAL GROUP, LLC

CRD#: 129422 / SEC#: 801-112958

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (12/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2007 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 4/29/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/17/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORRIS FINANCIAL GROUP, LLC

CRD#: 129422 / SEC#: 801-112958

RIA

Registered Investment Advisory firm - (4/25/2018 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2018 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (12/31/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2007 Terminated)

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Contact information

Main Address

605 N. Main Street, Greenville, SC 29601

Mailing Address

Phone number

(864) 235-6408

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORRIS FINANCIAL GROUP (3/24/2025)

Regulatory assets under management

Total Number of Accounts	879
AUM (Assets Under Management)	$ 251,609,978

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

Mason E. Freelin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

GPC SECURITIES, INC.

Primary Firm SEC Registration

NORRIS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2006

Series 63

Date: 4/21/2005

SIE

Date: 3/6/2017

Series 7

Date: 7/20/2005

Series 6

Date: 3/17/2005

Current Firm

NORRIS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORRIS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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