Trevor B. 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.
Trevor Britian Mason was a registered financial professional .
Trevor is a previously registered financial professional and started their career in finance in 2008. Trevor had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2012 - September 19, 2013
LUCIA SECURITIES, LLC
April 26, 2012 - September 19, 2013
LUCIA CAPITAL GROUP
March 8, 2010 - August 2, 2010
MUTUAL SECURITIES, INC.
February 16, 2010 - November 18, 2011
AVANT-GARDE ADVISORS LLC
May 2, 2009 - February 12, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - February 12, 2010
CHASE INVESTMENT SERVICES CORP.
February 11, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
February 11, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
December 22, 2008 - January 29, 2009
RBC CAPITAL MARKETS, LLC
September 30, 2008 - January 29, 2009
RBC CAPITAL MARKETS, LLC
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
LUCIA SECURITIES, LLC
CRD#: 37179 / SEC#: , 8-47643
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
