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MS

Mason A. Smith

PGB SECURITIES LLC
Bedminster, NJ 07921
Some features on this profile are disabled
CRD#: 7615084
MS

Professional summary

Mason Albert Smith is a registered financial professional currently at PGB SECURITIES LLC located in Bedminster, New Jersey.

Mason is registered as a RR (Registered Representative) and started their career in finance in 2022. Mason has worked at 1 firm and has passed the Series 63, Series 82TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Mason Albert Smith'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

December 16, 2022 - Present

PGB SECURITIES LLC

Office #1: 500 Hills Drive, Bedminster, NJ 07921Office #2: 500 Hills Drive, Bedminster, NJ 07921
BD
CRD#: 301472
Bedminster, NJ

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
New Jersey
(10/31/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/31/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 7/18/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 12/15/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/25/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PGB SECURITIES LLC
PGB SECURITIES LLC | PGBANK SECURITIES LLC

CRD#: 301472 / SEC#: , 8-70338

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

Main Address
500 Hills Drive, Bedminster, NJ 07921
Mailing Address
500 Hills Drive, Bedminster, NJ 07921
Phone number
(908) 443-5385
Established
New Jersey since 03/21/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PEAPACK-GLADSTONE BANKMEMBER
FRASIER, MICHAEL JOHNCCO3013598
SERRA, CARL ANTHONY IIIFINOP, POO AND PFO3179039
WASER, ERIC HUGOCEO7151260

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

PGB SECURITIES LLC

CRD#: 301472Bedminster, NJ 07921

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