KD
Kent L. Dallmeyer
MASON & ASSOCIATES
WASHINGTON, IA
Some features on this profile are disabled
CRD#: 851512
KD
Professional summary
Kent Lan Dallmeyer is a registered financial advisor currently at MASON & ASSOCIATES, INC. located in Washington, Iowa.
Kent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Kent has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Mason & Associates, Inc., Corporation, Start: 07/14/15, 2160 190th Street Washington, IA 52353-9281, RIA, IAR, Investment related, 35 hours per month, 1 hour per day during trading hours.
2. Independent Insurance Agent, Sole Proprietor, Start: 06/12/2000, 2160 190th St. Washington, IA 52353-9281, Agency/Agent, Not investment related, 1 hour per month, 0 hours per day during trading hours.
3. Dallmeyer, Inc., Corporation, 2160 190th Street Washington, IA 52353-9281, Family Farm, President/Owner, Not investment related, 4 hours per month, 3 hours per day during trading hours.
4. Windswept Farms, LLP, Start: 03/01/97, 2160 190th Street Washington, IA 52353-9281, Farm Operations, Limited Partner, 4 hours per month, 3 hours per day during trading hours.
5. Prairie Grain, LLP, Start: 01/01/03, 2160 190th Street Washington, IA 52353-9281, Membership interest through Big River Coop. & Resources, Partner, Not investment related, 2 hours per month, <1 hour per day during trading hours.
6. TIS Group, Inc. Corporation, Start: 05/01/95, 100 Village Center Dr. STe. 260 North Oaks, MN 55127, Distributor-Alternative Investments, Financial Consultant, Investment related, 3 hours per month, <1 hour per day during trading hours.
7. Rotary Club of Washington, IA, Non-Profit, Start: 07/1995, Washington, IA, Director & Foundation Chair, Not investment related, <10 hours per year, 0 hours per day during trading hours.
8. Kent Dallmeyer & Son, Ltd., Corporation, Start: 01/01/1982, 2160 190th Street Washington, IA 52353, Family Farm Corporation, President, Not investment related, 0 hours per month, 0 hours per day during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kent Lan Dallmeyer'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®
NoneExperience
Current
July 30, 2015 - Present
MASON & ASSOCIATES, INC.
RIA
CRD#: 141303
WASHINGTON, IA
Past
December 22, 2015 - August 10, 2017
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
CAMARILLO, CA
Past
September 11, 2006 - July 10, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
KALONA, IA
Past
September 8, 2006 - December 17, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
LOS ANGELES, CA
Past
February 11, 1999 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
WASHINGTON, IA
Past
January 4, 1999 - September 11, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WASHINGTON, IA
Past
September 10, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
May 5, 1978 - September 27, 1990
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
May 1, 1978 - May 5, 1978
DAIN, KALMAN & QUAIL, INCORPORATED
BD
CRD#: 202
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
M&
MASON & ASSOCIATES, INC.
MASON & ASSOCIATES INSURANCE SERVICES LLC. | TRANSFORMATIVE WEALTH MANAGEMENT | MASON & ASSOCIATES, INC.
CRD#: 141303 / SEC#: 801-67068
RIA
Registered Investment Advisory firm - (8/3/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Iowa(7/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/17/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
M&
MASON & ASSOCIATES, INC.
MASON & ASSOCIATES INSURANCE SERVICES LLC. | TRANSFORMATIVE WEALTH MANAGEMENT | MASON & ASSOCIATES, INC.
CRD#: 141303 / SEC#: 801-67068
RIA
Registered Investment Advisory firm - (8/3/2006 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
7474 North Figueroa Street Suite 100, Los Angeles, CA 90041
Mailing Address
Phone number
(323) 254-3072
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,822 |
| AUM (Assets Under Management) | $ 631,260,155 |
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.
