Thomas Mason has been CCO of Mason & Associates since July 2021, is a control person of the firm and directly owns under 5% of it.
Mason & Associates, Inc. is a Los Angeles, CA firm with $829M under management, 698 clients and 8 advisers across 2 offices, as of its January 2026 filing.
No adviser firm registrations are on Thomas Mason’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 26 February 2016 |
| Series 7 | General Securities Representative Examination | 27 January 2016 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Thomas Dean Mason
- CRD
- 6448618
- Firm
- Mason & Associates · CRD 141303
- Role
- CCO
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Mason work?
Thomas Mason has been CCO of Mason & Associates, Inc. since July 2021, and is a control person of the firm.
Does Thomas Mason have a current investment-adviser registration?
Thomas Mason has no current investment-adviser or broker registration.
What exams has Thomas Mason passed?
Thomas Mason has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in January 2016. FINRA credited Thomas Mason with the SIE, which began in October 2018.
Is Thomas Mason registered with FINRA?
No. Thomas Mason has no current broker registration.
How can I verify Thomas Mason’s record?
Search CRD 6448618 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Mason’s full registration record.
