Mason S. Sexton
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.
Mason Speed Sexton was a registered financial professional .
Mason is a previously registered financial professional and started their career in finance in 1976. Mason had worked at 11 firms and has passed the Series 63, Series 82TO, SIE, Series 3, 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
May 13, 2019 - January 2, 2023
PAULSON INVESTMENT COMPANY LLC
January 5, 2019 - May 17, 2019
TERRANOVA CAPITAL EQUITIES, INC
October 8, 2010 - June 29, 2018
REVERE SECURITIES LLC
June 23, 2008 - October 20, 2010
TOCQUEVILLE SECURITIES L.P.
December 1, 2003 - June 20, 2008
JESUP & LAMONT SECURITIES CORP
March 25, 1997 - October 24, 2003
HARMONIC RESEARCH, INC.
August 14, 1985 - June 11, 1998
BLUESTONE CAPITAL CORP.
March 12, 1984 - July 29, 1985
ROONEY, PACE INC.
September 15, 1982 - April 3, 1984
BECKER PARIBAS INCORPORATED
January 5, 1981 - September 10, 1982
MABON, NUGENT & CO.
March 25, 1976 - January 24, 1981
UBS ASSET MANAGEMENT (US) INC.
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
