Albert L. 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.
Albert Liam Mason, who also goes by Al Mason, Liam Mason, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 2013. Albert had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2024 - April 23, 2025
RAYMOND JAMES (USA) LTD.
March 30, 2017 - August 7, 2018
J.P. MORGAN SECURITIES LLC
March 30, 2017 - August 7, 2018
J.P. MORGAN SECURITIES LLC
October 12, 2015 - March 29, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 2015 - March 29, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2015 - October 16, 2015
U.S. BANCORP INVESTMENTS, INC.
March 26, 2014 - October 16, 2015
U.S. BANCORP INVESTMENTS, INC.
March 15, 2013 - May 8, 2013
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
RAYMOND JAMES (USA) LTD.
CRD#: 25853 / SEC#: 801-72137, 8-42071
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/14/2024
General Securities Representative ExaminationCurrent Firm
RAYMOND JAMES (USA) LTD.
CRD#: 25853 / SEC#: 801-72137, 8-42071
Contact information
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
