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MM

Michael H. Mason

CCS TRANSACTIONS
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 7241067
MM

Professional summary

Michael Henry Mason, who also goes by Michael Mason, is a registered financial professional currently at CCS TRANSACTIONS, LLC located in Minneapolis, Minnesota.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2020. Michael has worked at 2 firms and has passed the Series 63, Series 79TO, Series 52TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Henry 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®
None

Experience

Current

July 5, 2023 - Present

CCS TRANSACTIONS, LLC

Office #1: 150 South Fifth Street Suite 2700, Minneapolis, MN 55402
BD
CRD#: 149901
Minneapolis, MN
Past

May 28, 2020 - September 8, 2021

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN

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
Minnesota
(7/5/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/14/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/5/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 8/10/2022
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/5/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CT
CCS TRANSACTIONS, LLC
CCS TRANSACTIONS, LLC

CRD#: 149901 / SEC#: , 8-68203

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
150 South Fifth Street Suite 2700, Minneapolis, MN 55402
Mailing Address
150 South Fifth Street Suite 2700, Minneapolis, MN 55402
Phone number
(612) 230-3100
Established
Minnesota since 01/30/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHARTWELL FINANCIAL ADVISORY, INCMEMBER
BECKER, WILFRED FRANK JR.CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER5656978
HALVERSON, PAUL JOSEPHCHIEF FINANCIAL OFFICER2172601

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.

Company Information

CCS TRANSACTIONS, LLC

CRD#: 149901Minneapolis, MN 55402

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