Robert C. Mason

Some features on this profile are disabled

CRD#: 4889906

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.

Robert Carter Mason was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 2005. Robert had worked at 6 firms and has passed the Series 66 and Series 7 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

September 16, 2013 - March 8, 2022

OAK TREE INVESTMENT ADVISORS

RIA

CRD#: 111095

PITTSBURGH, PA

Past

February 25, 2010 - October 6, 2010

TLG ADVISORS, INC.

RIA

CRD#: 111052

PITTSBURGH, PA

Past

February 24, 2010 - May 20, 2010

THE LEADERS GROUP, INC.

CRD#: 37157

PITTSBURGH, PA

Past

February 19, 2009 - May 18, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PITTSBURGH, PA

Past

May 16, 2007 - June 16, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

ADDISON, TX

Past

May 8, 2007 - June 16, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

ADDISON, TX

Past

July 29, 2005 - September 1, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DALLAS, TX

Past

June 24, 2005 - September 1, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DALLAS, TX

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".

OAK TREE INVESTMENT ADVISORS

OAK TREE INVESTMENT ADVISORS | OAKMONT INVESTMENT ADVISORS, INC.

CRD#: 111095 / SEC#: 801-113803

RIA

Registered Investment Advisory firm - (8/9/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/22/2018 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 66

Date: 7/28/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/23/2005

General Securities Representative Examination

Current Firm

OAK TREE INVESTMENT ADVISORS

OAK TREE INVESTMENT ADVISORS | OAKMONT INVESTMENT ADVISORS, INC.

CRD#: 111095 / SEC#: 801-113803

RIA

Registered Investment Advisory firm - (8/9/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/22/2018 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

731 S. Aiken Ave, Pittsburgh, PA 15232

Mailing Address

Phone number

(412) 802-8358

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAKTREE INVESTMENT ADVISORS FIRM BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts	273
AUM (Assets Under Management)	$ 192,224,520

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Steven Barnes

BARNES WEALTH MANAGEMENT GROUP

IAR

BAKERSFIELD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert C. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OAK TREE INVESTMENT ADVISORS

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

CETERA WEALTH SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OAK TREE INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2005

Series 7

Date: 6/23/2005

Current Firm

OAK TREE INVESTMENT ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK TREE INVESTMENT ADVISORS

TRUST BUT VERIFY

Similar Advisors