William B. 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.
William Beecher Mason JR, who also goes by Bill Mason Jr, Bill Mason, William B Mason Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - December 31, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 30, 2012 - December 31, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 17, 1995 - March 30, 2012
CETERA WEALTH SERVICES, LLC
September 18, 1985 - March 30, 2012
CETERA WEALTH SERVICES, LLC
October 31, 1984 - September 16, 1985
FNI CAPITAL CORPORATION
March 23, 1981 - August 16, 1984
CENTRAL PACIFIC SECURITIES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
