Richard M. 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.
Richard Martin Northcote Mason, who also goes by Richard Martin Mason, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 12 firms and has passed the Series 63, SIE, Series 5, 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 26, 2006 - January 4, 2023
LOMBARD SECURITIES INCORPORATED
January 20, 1993 - June 6, 2006
FIRST WALL STREET CORP.
January 28, 1991 - January 14, 1993
CALIFORNIA ONE INVESTMENTS
August 13, 1990 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
June 27, 1988 - August 13, 1990
SPELMAN & CO., INC.
January 21, 1988 - June 21, 1988
CAPITAL BROKERAGE CORPORATION
April 25, 1986 - October 14, 1987
CITIGROUP GLOBAL MARKETS INC.
August 20, 1985 - April 28, 1986
M.L. STERN & CO., LLC.
June 25, 1984 - August 30, 1985
THOMSON MCKINNON SECURITIES INC.
December 2, 1983 - June 26, 1984
RAUSCHER PIERCE REFSNES, INC.
March 16, 1982 - December 5, 1983
CITIGROUP GLOBAL MARKETS INC.
March 3, 1981 - April 5, 1982
UBS FINANCIAL SERVICES INC.
May 1, 1979 - March 23, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
