Best Investors Account Sign in

Michael J Mason

Rbc Capital Markets, LLC

Chicago, IL

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2025-12-05
  • IL RA
    APPROVED
    Since 2025-12-05

Branch Locations

111 S Wacker Drive Suite 3200, Chicago, IL 60606 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Chicago IL 11/2015 02/2022
Ubs Financial Services Inc. Chicago IL 03/2022 08/2022
Morgan Stanley Chicago IL 09/2022 03/2025
M1 Finance Chicago IL 07/2025 11/2025
Unemployed Joliet IL 03/2025 07/2025
Rbc Capital Markets, Llc Chicago IL 11/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-01
S63 Uniform Securities Agent State Law Examination 2012-08-27
  • S65 Uniform Investment Adviser Law Examination
    2014-12-01
  • S63 Uniform Securities Agent State Law Examination
    2012-08-27
Other Names
  • Michael John Mason

View on SEC IAPD

Other Firms

BROWNSON, REHMUS & FOXWORTH, INC.
PFINGSTEN PARTNERS, L.L.C.
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
GUGGENHEIM INVESTMENTS
PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor