John W. 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.
John William Mason was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1975. John had worked at 13 firms and has passed the Series 63, Series 6, Series 22, Series 7, Series 52, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 1993 - December 16, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 29, 1993 - December 16, 1993
EQUITABLE ADVISORS, LLC
October 27, 1989 - March 27, 1991
EQUITY CAPITAL CORPORATION
February 23, 1989 - July 24, 1989
SAND DOLLAR REAL ESTATE INVESTMENTS, INC.
July 24, 1987 - January 12, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
November 21, 1986 - June 15, 1987
LEHMAN BROTHERS INC.
October 21, 1985 - August 26, 1986
EQUITY CAPITAL CORPORATION
June 21, 1985 - July 29, 1985
HALL SECURITIES CORPORATION
July 10, 1984 - May 2, 1985
FIRST FINANCIAL MANAGEMENT, INC.
October 10, 1983 - July 9, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
August 27, 1982 - October 7, 1983
DANNY THOMAS INVESTMENTS, INC.
April 8, 1981 - July 1, 1982
DANNY THOMAS INVESTMENTS, INC.
December 26, 1979 - June 15, 1980
E. F. HUTTON & COMPANY INC
July 27, 1979 - December 9, 1979
T. J. RANEY & SONS, INC.
October 22, 1975 - November 24, 1978
DIVERSIFIED FINANCIAL SERVICES CORPORATION OF AMERICA
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
Series 1
Date: 10/14/1975
Registered Representative ExaminationCurrent Firm
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
CRD#: 4039 / SEC#: , 8-14082
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXA FINANCIAL, INC. | SHAREHOLDER | |
| BEBEAR, CLAUDE | DIRECTOR | 2190371 |
| BROCKSOM, CHRISTOPHER JOHN | DIRECTOR | 2273261 |
| COLLOCH, FRANCOISE | DIRECTOR | 2273262 |
| DELACROIXDECASTRIES, HENRI | DIRECTOR | 2413752 |
| DIONNE, JOSEPH LEWIS | DIRECTOR | 1485211 |
| DUVERNE, DENIS | DIRECTOR | 3028622 |
| ESREY, WILLIAM TODD | DIRECTOR | 202413 |
| FOURTOU, JEAN RENE | DIRECTOR | 2273265 |
| FRANCIS, NORMAN CHRISTOPHER | DIRECTOR | 1968944 |
| GARBER, ROBERT E | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | 2231578 |
| GREENE, DONALD JOHN | DIRECTOR | 2190390 |
| HAMILTON, ANTHONY JOHN | DIRECTOR | 2706166 |
| HARTLEY, JOHN THOMAS | DIRECTOR | 2190356 |
| HASKELL, JOHN HENRY FARRELL | DIRECTOR | 239380 |
| HEGARTY, MICHAEL | PRESIDENT, CHIEF OPERATING OFFICER & DIRECTOR | 2474862 |
| HENDERSON, MARY REGINA | DIRECTOR | 2849961 |
| JARMAIN, WILLIAM EDWIN CHARLES | DIRECTOR | 2273266 |
| JOHNSTON, DON | DIRECTOR | 1537624 |
| KAPLAN, DONALD ROY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL | 1727509 |
| LOWY, GEORGE THEODORE | DIRECTOR | 2273267 |
| MILLER, EDWARD DANIEL | CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER & DIRECTOR | 2940587 |
| NORIS, PETER DANA | EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | 1327281 |
| PINEAUVALENCIENNE, DIDIER | DIRECTOR | 1990731 |
| SELLA, GEORGE J | DIRECTOR | 1830782 |
| SUQUET, JOSE MINO SUAREZ | EXECUTIVE VICE PRESIDENT & CHIEF DISTRIBUTION OFFICER | 709852 |
| TULLIN, STANLEY BERNARD | SENIOR EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR | 2761384 |
| WILLIAMS, DAVE HARRELL | DIRECTOR | 467574 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 10 |
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.
