MR
Michael M. Roethel
MASON SECURITIES
Reston, VA 20190
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CRD#: 5855060
MR
Professional summary
Michael Mathias Roethel is a registered financial professional currently at MASON SECURITIES, INC. located in Reston, Virginia.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Are you a "fiduciary"?
No
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.
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®
NoneExperience
Current
November 15, 2018 - Present
MASON SECURITIES, INC.
Office #1: 11921 Freedom Drive Suite 1000, Reston, VA 20190CRD#: 12967
Reston, VA
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.
Exams
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MASON SECURITIES, INC.
MASON SECURITIES, INC.
CRD#: 12967 / SEC#: , 8-28378
BD
Terminated by SEC on 12/30/2025
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Contact information
Main Address
Mailing Address
Phone number
Established
Delaware since 07/09/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASON INTERNATIONAL, INC. | SHAREHOLDER | |
| DELANEY, JOHN MURPHY | CHIEF COMPLIANCE OFFICER | 6877307 |
Disclosures
| Regulatory Event | 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.
