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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

MICHAEL J MASON

Advisor at RBC CAPITAL MARKETS, LLC

CHICAGO, IL

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Search this name across graphsid dfx:ria:01cc8664-c633-c3dc-bd01-3092ce407bd1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 4
On other graphs: 0
Observed: Dec 1, 2014 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 27, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 27, 2012
First registration: Dec 1, 2014
Dual registered: yes, broker-dealer
Other names: MICHAEL JOHN MASON
IAPD individual key: 5977646

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 5, 2025	n/a	yes	CHICAGO, IL	Current employment
M1 ADVISORY	Independent wealth	Aug 15, 2025	Nov 14, 2025	no	JOLIET, IL\|CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Sep 16, 2022	Jun 10, 2025	no	Chicago, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 4, 2022	Sep 8, 2022	no	WEEHAWKEN, NJ\|Joliet, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Nov 2, 2015	Mar 9, 2022	no	CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Dec 1, 2014	Nov 5, 2015	no	Oak Brook, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M1 ADVISORY	RBC CAPITAL MARKETS, LLC	Nov 14, 2025	Dec 5, 2025	21	Firm change	Other
MORGAN STANLEY	M1 ADVISORY	Jun 10, 2025	Aug 15, 2025	66	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Sep 8, 2022	Sep 16, 2022	8	Firm change	Wirehouse to wirehouse
RBC CAPITAL MARKETS, LLC	UBS FINANCIAL SERVICES INC.	Mar 9, 2022	Apr 4, 2022	26	Firm change	Ibd to wirehouse
MORGAN STANLEY	RBC CAPITAL MARKETS, LLC	Nov 5, 2015	Nov 2, 2015	-3	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Nov 2, 2015 to Mar 9, 2022factForm ADV
→ M1 ADVISORYRegistered adviserregistration: previous registration
Aug 15, 2025 to Nov 14, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 16, 2022 to Jun 10, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Apr 4, 2022 to Sep 8, 2022factForm ADV

Dated events

Occurred
Nov 14, 2025
Advisor changed firm
Michael J Mason left M1 Advisory for Rbc Capital Markets, Llc (registered 2025-12-05)
Form ADVobserved 5 days ago
Occurred
Jun 10, 2025
Advisor changed firm
Michael J Mason left Morgan Stanley for M1 Advisory (registered 2025-08-15)
Form ADVobserved 5 days ago
Occurred
Sep 8, 2022
Advisor changed firm
Michael J Mason left Ubs Financial Services Inc. for Morgan Stanley (registered 2022-09-16)
Form ADVobserved 5 days ago
Occurred
Mar 9, 2022
Advisor changed firm
Michael J Mason left Rbc Capital Markets, Llc for Ubs Financial Services Inc. (registered 2022-04-04)
Form ADVobserved 5 days ago