Michael J. Mason

M1 FINANCE

JOLIET, IL

Some features on this profile are disabled

CRD#: 5977646

Professional summary

Michael J Mason, who also goes by Michael John Mason, is a registered financial advisor currently at M1 FINANCE located in Joliet, Illinois and M1 FINANCE LLC located in Chicago, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael John Mason

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael J Mason's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 15, 2025 - Present

M1 FINANCE

RIA

CRD#: 249787

JOLIET, IL

Current

August 15, 2025 - Present

M1 FINANCE LLC

Office #1: 200 N Lasalle Street, Suite 810, Chicago, IL 60601

CRD#: 281242

CHICAGO, IL

Current

November 5, 2025 - Present

RBC CAPITAL MARKETS, LLC

Office #1: 111 S Wacker Drive Suite 3200, Chicago, IL 60606

RIA

CRD#: 31194

Chicago, IL

Past

September 16, 2022 - June 10, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Chicago, IL

Past

September 16, 2022 - June 10, 2025

MORGAN STANLEY

CRD#: 149777

Chicago, IL

Past

April 4, 2022 - September 8, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Joliet, IL

Past

March 21, 2022 - September 8, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 2, 2015 - March 9, 2022

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

CHICAGO, IL

Past

November 2, 2015 - March 9, 2022

RBC CAPITAL MARKETS, LLC

CRD#: 31194

CHICAGO, IL

Past

December 1, 2014 - November 5, 2015

MORGAN STANLEY

RIA

CRD#: 149777

OAK BROOK, IL

Past

June 12, 2012 - November 5, 2015

MORGAN STANLEY

CRD#: 149777

OAK BROOK, IL

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".

M1 FINANCE

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 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.

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

California
(11/6/2025)

Connecticut
(11/5/2025)

Florida
(11/6/2025)

Georgia
(11/7/2025)

Illinois
(8/15/2025)

IAR

Illinois
(8/15/2025)

Nebraska
(11/5/2025)

Ohio
(11/6/2025)

Pennsylvania
(11/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/13/2015

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/23/2015

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

M1 FINANCE

FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA

Registered Investment Advisory firm - (8/11/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 North Lasalle Street Suite 810, Chicago, IL 60601

Mailing Address

Phone number

(312) 600-2883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (3/11/2025)

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Mason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael J Mason's CRS (Customer Relationship Summary).

Certified licenses

Experience

M1 FINANCE LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

M1 FINANCE

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2014

Series 63

Date: 8/27/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/11/2012

Series 10

Date: 7/13/2015

Series 9

Date: 6/23/2015

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

M1 FINANCE

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

M1 FINANCE

TRUST BUT VERIFY

Similar Advisors