Kenneth Allen Mason

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-08-09
CA	RA	APPROVED	2019-12-16

TX RA
APPROVED_RES

Since 2024-08-09
CA RA
APPROVED

Since 2019-12-16

Branch Locations

Hamilton City, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Sagepoint Financial, Inc.	Phoenix	AZ	01/2009	12/2019
Sagepoint Financial, Inc	Phoenix	AZ	01/2009	12/2019
Lpl Financial Llc	New Hamilton	CA	12/2019	Present

01/2009 → 12/2019

Sagepoint Financial, Inc.

Phoenix, AZ
01/2009 → 12/2019

Sagepoint Financial, Inc

Phoenix, AZ
12/2019 → Present

Lpl Financial Llc

New Hamilton, CA

Previous Registrations

2008-10-31 → 2019-12-17

Osaic Services, Inc.

Hamilton City, CA
2002-09-27 → 2008-10-31

American General Securities Incorporated

Chico, CA

Houston, TX

Chico, CA

Other Businesses

1- 12/05/2024 - Hamilton High School - Other - Coaching - JV Coach - Not investment Related - 620 Canal St. Hamilton City, CA 95951 - Start Date 11/11/2024 - 40 hours per month/ 0 hours during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-04-26

S66 Uniform Combined State Law Examination

1999-04-26

View on SEC IAPD