Mason J. Anderson
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.
Mason John Anderson was a registered financial professional .
Mason is a previously registered financial professional and started their career in finance in 2015. Mason had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 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
October 3, 2022 - March 1, 2024
THORESON STEFFES
November 9, 2015 - September 4, 2020
CRAIG-HALLUM CAPITAL GROUP LLC
State Registrations and Notice Filings
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Exams
Current Firm
THORESON STEFFES
CRD#: 164425 / SEC#: 801-80084
Contact information
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 40,705,673 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| South Dakota | ERA - Withdrawn | 2/27/2020 |
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.
