James R. 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.
James Richard Mason, who also goes by James Mason, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 3 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2010 - August 3, 2012
LEONARD & COMPANY
November 24, 2009 - September 3, 2010
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 23, 2008 - November 23, 2009
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LEONARD & COMPANY
CRD#: 36527 / SEC#: 801-60035, 8-47298
Contact information
Disclosures
| Regulatory Event | 13 |
| Arbitration | 2 |
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.
