Lee S. Mason
Professional summary
Lee S Mason, who also goes by Lee S. Mason, Lee Steadman Mason, Lee Mason, is a registered financial advisor currently at THRIVENT ADVISOR NETWORK, LLC located in Mesa, Arizona and THRIVENT INVESTMENT MANAGEMENT INC. located in Mesa, Arizona.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lee has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lee S Mason's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lee S Mason's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2023 - Present
THRIVENT ADVISOR NETWORK, LLC
May 9, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #2: 600 Portland Ave S, Minneapolis, MN 55415May 7, 2024 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 600 Portland Ave S, Minneapolis, MN 55415April 6, 2023 - March 21, 2024
PURSHE KAPLAN STERLING INVESTMENTS
August 11, 2021 - August 9, 2022
ROBINHOOD FINANCIAL, LLC
April 12, 2019 - July 23, 2021
EDWARD JONES
April 12, 2019 - July 23, 2021
EDWARD JONES
April 7, 2016 - April 12, 2019
OPPENHEIMER & CO. INC.
April 7, 2016 - April 12, 2019
OPPENHEIMER & CO. INC.
October 15, 2010 - March 29, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2010 - March 29, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2009 - April 21, 2010
COUNTRY CAPITAL MANAGEMENT COMPANY
November 6, 2007 - August 7, 2009
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/27/2023)
(5/9/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
THRIVENT INVESTMENT MANAGEMENT INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THRIVENT FINANCIAL HOLDINGS, INC. | OWNER | |
| BIRR, THOMAS JOHN | VICE PRESIDENT | 4148092 |
| BOUSU, CALEB ANTHONY | DIRECTOR | 7877353 |
| CECERE, NICHOLAS M | DIRECTOR | 1513551 |
| GILCHRIST, TONIA NICOLE JAMES | CHIEF LEGAL OFFICER & SECRETARY | 4777233 |
| GOLIS, ANDREA CORIN | CHIEF COMPLIANCE OFFICER | 1401462 |
| JOHNSON, ARIKA VIKTORIA | DIRECTOR | 5580869 |
| JOHNSTON, PAUL ROBERTS | DIRECTOR | 2065882 |
| KLOSTER, DAVID JACOB | PRESIDENT | 2523240 |
| NORGARD, ANDREW DYLAN | TREASURER | 6868385 |
Regulatory assets under management
| Total Number of Accounts | 48,940 |
| AUM (Assets Under Management) | $ 17,499,525,490 |
Disclosures
| Regulatory Event | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2026 | ||
| 10/21/2024 | ||
| 01/25/2024 |
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.
