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WILLIAM GEARY MASON
GEARY MASON
CRD#: 1863783
IA
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STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 639 LOYOLA AVENUE
SUITE 200
NEW ORLEANS, LA 70113
SUITE 200
NEW ORLEANS, LA 70113
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7/27/2009
Employment Separation After Allegations
State Registrations
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Alabama 7/7/2015
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New York 7/7/2015
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Arizona 8/26/2016
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North Carolina 7/7/2015
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Arkansas 7/7/2015
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Ohio 7/7/2015
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California 2/1/2018
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South Carolina 3/15/2024
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Colorado 1/8/2020
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Tennessee 7/7/2015
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Florida 7/7/2015
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Texas 7/7/2015
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Georgia 7/7/2015
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Texas 2/6/2018
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Louisiana 7/7/2015
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Utah 7/7/2015
IA
Louisiana 7/7/2015
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Washington 7/22/2024
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Maryland 2/10/2017
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Wisconsin 12/5/2019
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Mississippi 7/7/2015
SRO Registrations
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Registered with this firm since 7/7/2015
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Registered with this firm since 7/7/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/20/2009 - 07/07/2015 | NEW ORLEANS, LA | |
B | 10/23/2009 - 07/07/2015 | NEW ORLEANS, LA | |
IA | 01/30/1990 - 08/18/2009 | NEW ORLEANS, LA | |
B | 08/25/1988 - 08/18/2009 | NEW ORLEANS, LA |
NEW ORLEANS, LA
01/30/1990 - 08/18/2009
NEW ORLEANS, LA
08/25/1988 - 08/18/2009
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.