HM
Hermon L. Mason
THRIVENT INVESTMENT MANAGEMENT
Atlanta, GA 30339
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CRD#: 6057109
HM
Professional summary
Hermon Leon Mason, who also goes by Hermon Leon Mason, Hermon Mason, is a registered financial advisor currently at THRIVENT INVESTMENT MANAGEMENT INC. located in Atlanta, Georgia.
Hermon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Hermon has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hermon Leon Mason | Hermon 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.
AVERETT UNIVERSITY POSITION: Alumni Board Member NATURE: Averett University is a private Baptist university in Danville, Virginia. Founded in 1859 as a women's college, Averett became a 4-year, coeducational institution in 1969. In 2011, the university restored its Baptist affiliation, renewing a relationship that had existed from Averett's founding until 2005 INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/16/2023 ADDRESS: 420 W Main St, Danville VA 24541, United States DESCRIPTION: The purpose of this organization shall be to strengthen, nourish, and perpetuate the relations among Averett University alumni and between the University and its graduates. Further, the association will cultivate interaction with current students, promote support of the University and strive to advance the mission of the institution
CRS (Client Relationship Summary) - RIA
Click below to view Hermon Leon Mason's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hermon Leon Mason's 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®
NoneExperience
Current
March 15, 2023 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Current
December 12, 2022 - Present
THRIVENT INVESTMENT MANAGEMENT INC.
Office #1: 200 Galleria Pkwy Se, Atlanta, GA 30339RIA
BD
CRD#: 18387
Atlanta, GA
Past
October 26, 2021 - December 5, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ATLANTA, GA
Past
October 7, 2021 - December 5, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ATLANTA, GA
Past
September 23, 2013 - August 26, 2021
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
Atlanta, GA
Past
October 16, 2012 - July 12, 2013
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
DULUTH, GA
Past
June 18, 2012 - October 9, 2012
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ATLANTA, GA
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".
TI
THRIVENT INVESTMENT MANAGEMENT INC.
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
RIA
Registered Investment Advisory firm - SEC (5/18/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Alabama(4/13/2023)
RR
Alaska(4/19/2023)
RR
Arizona(4/18/2023)
RR
California(4/13/2023)
RR
Colorado(4/14/2023)
RR
Connecticut(4/17/2023)
RR
Delaware(10/1/2024)
RR
District of Columbia(8/30/2023)
IAR
District of Columbia(8/30/2023)
RR
Florida(4/14/2023)
RR
Georgia(12/12/2022)
IAR
Georgia(3/15/2023)
RR
Hawaii(4/14/2023)
RR
Idaho(4/14/2023)
RR
Illinois(4/14/2023)
RR
Indiana(4/14/2023)
RR
Iowa(9/29/2023)
RR
Kansas(4/13/2023)
RR
Kentucky(4/21/2023)
RR
Louisiana(4/17/2023)
RR
Maine(4/3/2025)
RR
Maryland(4/21/2023)
RR
Massachusetts(8/14/2023)
RR
Michigan(4/17/2023)
RR
Minnesota(4/13/2023)
RR
Missouri(4/14/2023)
RR
Nebraska(4/13/2023)
RR
Nevada(4/18/2023)
RR
New Jersey(4/13/2023)
RR
New Mexico(4/14/2023)
RR
New York(4/17/2023)
RR
North Carolina(4/18/2023)
RR
Ohio(4/14/2023)
RR
Oklahoma(6/12/2023)
IAR
Oklahoma(6/12/2023)
RR
Oregon(4/14/2023)
RR
Pennsylvania(4/14/2023)
RR
South Carolina(4/14/2023)
RR
Tennessee(4/14/2023)
RR
Texas(4/14/2023)
IAR
Texas(4/14/2023)
RR
Utah(4/14/2023)
RR
Virginia(4/17/2023)
RR
Washington(4/13/2023)
RR
West Virginia(4/3/2025)
RR
Wisconsin(4/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/10/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
THRIVENT INVESTMENT MANAGEMENT INC.
AAL CAPITAL MANAGEMENT CORPORATION | THRIVENT INVESTMENT MANAGEMENT INC. | FORTRESS DISTRIBUTORS, INC. | AAL DISTRIBUTORS INC.
CRD#: 18387 / SEC#: 801-29618, 8-36525
RIA
Registered Investment Advisory firm - SEC (5/18/1987 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
600 Portland Avenue South, Minneapolis, MN 55415
Mailing Address
600 Portland Avenue South, Minneapolis, MN 55415
Phone number
+1 (800) 847-4836
Established
Delaware since 07/29/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
3,846
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 |
|---|---|---|
| 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.
