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JM

James T. Mason

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CRD#: 7411523
JM

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.

James Tom Mason, who also goes by Jamie Tom Mason, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2021. James had worked at 1 firm and has passed the Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Tom 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 30, 2021 - January 27, 2023

BERENSON & COMPANY, LLC

BD
CRD#: 28016
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 8/30/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/17/2021
Securities Industry Essentials Examination

Current Firm

B&
BERENSON & COMPANY, LLC
BERENSON & COMPANY, LLC | BERENSON MINELLA & COMPANY, L.P. | BERENSON MINELLA & COMPANY LLC

CRD#: 28016 / SEC#: , 8-43368

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
667 Madison Avenue 18th Floor, New York, NY 10065
Mailing Address
667 Madison Avenue 18th Floor, New York, NY 10065
Phone number
(212) 935-7676
Established
Delaware since 01/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BERENSON & COMPANY, INC.MANAGING MEMBER
BERENSON, JEFFREY LEEGENERAL SECURITIES PRINCIPAL, CEO18881
LEWIS, MICHAEL J.H.FINOP/CFO, CCO4587805

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

BERENSON & COMPANY, LLC

CRD#: 28016

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