Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee S. Mason is a financial advisor registered with both Thrivent Investment Management Inc. and Thrivent Advisor Network, LLC. Lee has been in the industry since 2008. Lee is currently registered in Arizona as both a broker-dealer and an investment advisor. Prior to joining Thrivent Investment Management Inc., Lee was an advisor with PKS Investments in Albany, NY. Lee holds the Series 63, 66, 7, 9, 10, 24, SIE, and 99TO licenses and has been a financial professional for over 15 years.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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AZ
05/09/2024 - Present
Thrivent Investment Management Inc. (Mesa AZ)
NY
04/06/2023 - 03/21/2024
PURSHE KAPLAN STERLING INVESTMENTS (ALBANY NY)
AZ
08/11/2021 - 08/09/2022
ROBINHOOD FINANCIAL, LLC (Tempe AZ)
AZ
04/12/2019 - 07/23/2021
EDWARD JONES (TEMPE AZ)
AZ
04/07/2016 - 04/12/2019
OPPENHEIMER & CO. INC. (SCOTTSDALE AZ)
AZ
09/24/2010 - 03/29/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)
AZ
08/12/2009 - 04/21/2010
COUNTRY CAPITAL MANAGEMENT COMPANY (MESA AZ)
UT
11/06/2007 - 08/07/2009
FIDELITY BROKERAGE SERVICES LLC (AMERICAN FORK UT)
BOTH
Issued 10/14/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/09/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/07/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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