Individual Firm
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JOHN CLAUDE MASON
CRD#: 2704861
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 3333 PEACHTREE RD NE
FL 3
ATLANTA, GA 30326
FL 3
ATLANTA, GA 30326
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 3333 PEACHTREE RD NE
FL 3
ATLANTA, GA 30326
FL 3
ATLANTA, GA 30326
View By:
6/16/2023
Customer Dispute
Denied
State Registrations
B
Alabama 2/17/2021
B
North Carolina 2/17/2021
B
Arkansas 2/17/2021
B
North Dakota 2/17/2021
B
California 2/17/2021
B
Ohio 2/17/2021
B
District of Columbia 2/17/2021
B
South Carolina 2/17/2021
B
Florida 2/17/2021
B
Tennessee 2/17/2021
B
Georgia 2/17/2021
B
Texas 2/17/2021
IA
Georgia 3/2/2021
IA
Texas 5/5/2022
B
Michigan 2/17/2021
B
Utah 2/17/2021
B
Minnesota 2/17/2021
B
Virginia 2/17/2021
B
New Jersey 2/17/2021
B
West Virginia 2/17/2021
B
New York 1/19/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 3/2/2021
B
Registered with this firm since 2/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2018 - 03/02/2021 | RICHMOND, VA | |
B | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
IA | 03/18/2013 - 01/02/2018 | DUNWOODY, GA | |
B | 03/11/2013 - 01/02/2018 | DUNWOODY, GA | |
IA | 11/28/2011 - 03/28/2013 | ATLANTA, GA | |
B | 11/15/2011 - 03/28/2013 | ATLANTA, GA | |
B | 01/21/2011 - 09/14/2011 | DAWSONVILLE, GA | |
B | 11/06/1997 - 10/30/1998 | LITTLETON, CO | |
B | 02/08/1996 - 10/01/1997 | NEW YORK, NY | |
B | 02/08/1996 - 10/01/1997 | NEW YORK, NY |
NEW YORK, NY
02/08/1996 - 10/01/1997
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B
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.
IA
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.