MM
Michael G. Mason
OPEN TO THE PUBLIC INVESTING
New York, NY 10013
Some features on this profile are disabled
CRD#: 6420960
MM
Professional summary
Michael Gabriel Mason is a registered financial professional currently at OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2014. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
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) - BD
Click below to view Michael Gabriel 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
April 22, 2022 - Present
OPEN TO THE PUBLIC INVESTING, INC.
Office #1: 6 Harrison St 5th Floor, New York, NY 10013BD
CRD#: 127818
New York, NY
Past
August 31, 2015 - April 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HOLLY SPRINGS, NC
Past
August 31, 2015 - April 18, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HOLLY SPRINGS, NC
Past
December 16, 2014 - July 31, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DURHAM, NC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(4/22/2022)
RR
Alaska(4/22/2022)
RR
Arizona(4/22/2022)
RR
Arkansas(4/22/2022)
RR
California(4/22/2022)
RR
Colorado(4/22/2022)
RR
Connecticut(4/22/2022)
RR
Delaware(4/22/2022)
RR
District of Columbia(4/22/2022)
RR
Florida(4/22/2022)
RR
Georgia(4/22/2022)
RR
Hawaii(4/22/2022)
RR
Idaho(4/22/2022)
RR
Illinois(4/22/2022)
RR
Indiana(4/22/2022)
RR
Iowa(4/22/2022)
RR
Kansas(4/22/2022)
RR
Kentucky(4/22/2022)
RR
Louisiana(4/22/2022)
RR
Maine(4/22/2022)
RR
Maryland(4/22/2022)
RR
Massachusetts(4/22/2022)
RR
Michigan(4/22/2022)
RR
Minnesota(4/22/2022)
RR
Mississippi(4/22/2022)
RR
Missouri(4/22/2022)
RR
Montana(4/22/2022)
RR
Nebraska(4/22/2022)
RR
Nevada(4/22/2022)
RR
New Hampshire(4/22/2022)
RR
New Jersey(4/22/2022)
RR
New Mexico(4/22/2022)
RR
New York(4/22/2022)
RR
North Carolina(4/22/2022)
RR
North Dakota(4/22/2022)
RR
Ohio(4/22/2022)
RR
Oklahoma(4/22/2022)
RR
Oregon(4/22/2022)
RR
Pennsylvania(4/22/2022)
RR
Puerto Rico(4/22/2022)
RR
Rhode Island(4/22/2022)
RR
South Carolina(4/22/2022)
RR
South Dakota(4/22/2022)
RR
Tennessee(4/22/2022)
RR
Texas(4/22/2022)
RR
Utah(4/22/2022)
RR
Vermont(4/22/2022)
RR
Virgin Islands(4/22/2022)
RR
Virginia(4/22/2022)
RR
Washington(4/22/2022)
RR
West Virginia(4/22/2022)
RR
Wisconsin(4/22/2022)
RR
Wyoming(4/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OT
OPEN TO THE PUBLIC INVESTING, INC.
LIQUID PRIME SERVICES INC. | TACONIC CAPITAL GROUP INC. | T3 SECURITIES, INC. | PUBLIC INVESTING | PUBLIC | OPEN TO THE PUBLIC INVESTING, INC. | LIQUID PRIME SERVICES, INC.
CRD#: 127818 / SEC#: , 8-66049
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
6 Harrison St 5th Floor/suite, New York, NY 10013
Mailing Address
228 Park Ave. S Suite 97716, New York, NY 10003
Phone number
(212) 401-6946
Established
New York since 05/16/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
