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RM

Randi Patrice Mason

LEBENTHAL FINANCIAL SERVICES

Jericho, NY

·CRD# 722302·45 years experience

Professional Summary

Randi Patrice Mason is a registered financial advisor currently at LEBENTHAL FINANCIAL SERVICES, INC. located in Jericho, New York. Randi is registered as a RR (Registered Representative) and started their career in finance in 1981. Randi has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 14, Series 24 and Series 8 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

45 years in the financial services industry

Current & Past Employments

LEBENTHAL FINANCIAL SERVICES, INC.·CRD# 137988

BD

1. 500 N. Broadway Suite 238, Jericho, NY 117532. 500 N. Broadway Suite 238, Jericho, NY 11753

May 1, 2006 - Present

FIRST WILLISTON CORPORATION·CRD# 1864

BD

Mitchel Field, NY

January 23, 1996 - February 6, 1997

NORTHEAST SECURITIES, LLC·CRD# 25996

BD

Plainview, NY

June 15, 1995 - March 28, 2007

SANDLER, O'NEILL & PARTNERS, L.P.·CRD# 23328

BD

New York, NY

January 11, 1995 - June 16, 1995

ADAMS, COHEN SECURITIES INC.·CRD# 15756

BD

October 24, 1990 - June 8, 1995

PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471

BD

New York, NY

June 19, 1985 - September 24, 1990

SUTRO & CO. INCORPORATED·CRD# 801

BD

January 4, 1984 - May 31, 1984

MORGAN STANLEY DW INC.·CRD# 7556

BD

January 19, 1981 - August 12, 1983

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Current Firm

LF

LEBENTHAL FINANCIAL SERVICES, INC.

BRISTOL FINANCIAL SERVICES, INC | LEBENTHAL FINANCIAL SERVICES, INC.

CRD#: 137988 / SEC#: 8-67140

BD

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Contact Information

Main Address

500 N. Broadway Suite 238, Jericho, NY 11753

Mailing Address

500 N. Broadway Suite 238, Jericho, NY 11753

Phone Number

(516) 349-5555

Established

New York since 07/13/2005

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (40 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HARTZMAN, MICHAEL AVERY	PRESIDENT, EXECUTIVE REP., CHIEF COMPLIANCE OFFICER OF INVESTMENT ADVISORY, MUNICIPAL PRINCIPAL, OPTIONS PRINCIPAL	2216133
TAVELLA, DOMINICK	OWNER	1069864
MASON, RANDI PATRICE	CHIEF COMPLIANCE OFFICER	722302
SAKOL, DANIEL SCOTT	FINOP	2813237

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 2004About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1983About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1981About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Jan 2023About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Jan 2023About the Series 9 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Sep 1991About the Series 24 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Mar 1984

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Randi Patrice Mason's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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RM

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