AM
Andrew I. Mason
STONEX ADVISORS
MICHIGAN CITY, IN
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CRD#: 5066378
AM
Professional summary
Andrew Ian Mason is a registered financial advisor currently at STONEX ADVISORS INC. located in Michigan City, Indiana and STONEX SECURITIES INC. located in Michigan City, Indiana.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 5 firms and has passed the Series 66, SIE and Series 7 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) NOBLECHEM RESOURCES, INC. - NON INVESTMENT RELATED. 109 JACKPINE DRIVE, MICHIGAN CITY, IN 46360. NATURE OF BUSINESS: CHEMICAL WHOLESALE AND DISTRIBUTION. 24% OWNER, PRESIDENT. STARTED JULY 2010. 20 HRS/MO, 5 HRS/MO DURING TRADING HOURS. DUTIES: PRESIDENT AND CHEMICAL SALES. 2) AIM FINANCIAL FREEDOM, INC. - INVESTMENT RELATED. 109 JACKPINE DRIVE, MICHIGAN CITY, IN 46360. NATURE OF BUSINESS: Securities, Investment Advisory, Insurance, Financial Advisor, Insurance Agent. 100% OWNER, POSITION: PRESIDENT. STARTED 7/7/2007. 140 HRS/MO, 125 HRS/MO DURING TRADING HOURS. DUTIES: Owner/Presdient, Securities Registered Representative, Financial Advisory, Insurance, Financial Advisor, Insurance Agent. 3) ANDREW I MASON - LIFE & HEALTH INSURANCE - NON INVESTMENT RELATED.109 JACKPINE DRIVE, MICHIGAN CITY, IN 46360. NATURE OF BUSINESS: LIFE & HEALTH INSURANCE. 100% OWNER. STARTED 04/01/2006. 1-2 HRS/MO AND 0 HRS/MO DURING TRADING HOURS. DUTIES: LIFE & HEALTH INSURANCE SALES. 4) Beachside Gardens & Gifts - 3725 US-12, Michigan City, IN, 46360 Nature of Business: Garden and Landscape Center Investment Related: No Business Position: Garden Center Associate Business Duties: Help customers with landscaping materials, watering garden center greenhouses, general garden center labor Business Start Date: 06/25/2023 Approximately 25 hours spent on this OBA monthly, with zero during market hours. 5) Marquette Catholic High School - 306 W. 10th Street, Michigan City, IN 46360 Nature of Business: Boys High School Golf Coach, Grades 9-12 Investment Related: No Business Position: Boys Golf Coach Business Duties: Coaching High School Boys Golf Business Start Date: 04/02/2024 Approximately 60 hours spent on this OBA monthly, zero during market hours. 6) D-Jam Enterprises, LLC; NOT investment related; Michigan City, IN; Book on personal finance title Taking Your Financial Pulse; Sole member of LLC, Author of book; 11/2024; 2 hrs/month during non-trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Ian Mason's 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®
NoneExperience
Current
December 6, 2019 - Present
STONEX ADVISORS INC.
RIA
CRD#: 174182
MICHIGAN CITY, IN
Current
December 6, 2019 - Present
STONEX SECURITIES INC.
BD
CRD#: 18456
MICHIGAN CITY, IN
Past
January 6, 2016 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
MICHIGAN CITY, IN
Past
September 29, 2009 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
MICHIGAN CITY, IN
Past
September 29, 2009 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
July 13, 2007 - September 4, 2009
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
CHESTERTON, IN
Past
July 11, 2007 - September 4, 2009
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
CHESTERTON, IN
Past
February 1, 2006 - July 12, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ST. LOUIS, MO
Past
January 18, 2006 - July 12, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)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.RR
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
RR
Arizona(12/6/2019)
RR
California(12/9/2019)
RR
Colorado(7/14/2025)
RR
Florida(12/6/2019)
RR
Illinois(11/22/2022)
RR
Indiana(12/6/2019)
IAR
Indiana(12/6/2019)
RR
Michigan(12/6/2019)
RR
New Jersey(12/6/2019)
RR
Tennessee(1/3/2023)
RR
Texas(12/6/2019)
RR
Utah(10/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
