Ronald MasonCRD Number: 1222513
Current Firm: Rbc Capital Markets, LLC
Ronald Mason (CRD# 1222513) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Salt Lake City, UT and has over 33 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Rbc Capital Markets Corporation||Salt Lake City, UT||Mar 2008 - Current||9|
|Rbc Dain Rauscher||Salt Lake City, UT||Jan 2006 - Mar 2008||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1984|
|S65||NASAA Investment Advisors Law Examination||Oct 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management76,274MILLIONS
Total Number of Accounts192,243ACCOUNTS
Average Account Value$396,757
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV