Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joan? Claim Your ProfileJoan Elayne Mason is a financial advisor with over 35 years of experience in the industry. Joan is currently registered with Morgan Stanley and has been with the firm since June 2009. Prior to that, Joan worked at CITIGROUP GLOBAL MARKETS INC., DEUTSCHE BANK SECURITIES INC., RBC DAIN RAUSCHER INC., DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES, INC., DAIN BOSWORTH INCORPORATED, EVEREN SECURITIES, INC., LEHMAN BROTHERS INC., and E. F. HUTTON & COMPANY INC. Joan has a wide range of experience and expertise in various areas of the financial services industry, including investment management, financial planning, and portfolio management. Joan holds various licenses and certifications, including Series 7, 63, 65, 24, 8, 9, 10, and 31. Joan is committed to providing her clients with personalized financial advice and solutions that meet their specific needs.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
06/01/2009 - Present
Morgan Stanley (Dallas TX)
TX
04/18/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
TX
02/19/2002 - 05/16/2008
DEUTSCHE BANK SECURITIES INC. (DALLAS TX)
NY
03/02/1998 - 02/20/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
08/05/1996 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
07/22/1994 - 08/22/1996
DAIN BOSWORTH INCORPORATED
MO
12/13/1991 - 07/26/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NY
02/15/1988 - 12/04/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/24/1987 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 09/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/29/1997
Series 24 - General Securities Principal Examination
BC
Issued 12/21/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Joan Mason is the right advisor for you? Invested Better is here to help.
