Warren Frank Mason
Investment Adviser Representative at IEQ Capital, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Warren Frank Mason is an investment adviser representative with IEQ Capital, LLC in New York, NY, where they have been registered since 2025. They have worked in the securities industry since 2019 and were previously registered with J.p. Morgan Securities LLC. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and New York.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, New York
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Goldman Sachs & CoAug 2021 – Aug 2023New York, NY
- US Department of Health and Human ServicesNov 2014 – Jul 2021Washington DC, DC
- UnemployedSep 2023 – Sep 2023Alpine, NJ
- JPMorgan Chase Bank, NAOct 2023 – no end date reportedNew York, NY
- JPMorgan Securities LLCOct 2023 – no end date reportedNew York, NY
- IEQ CapitalSep 2025 – no end date reportedFoster City, CA
Official records & sources
Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About IEQ Capital, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.01
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 182
- Offices listed on AdvisorFinder:
- 10
- Main office:
- Foster City, CA
- SEC file number:
- 801-115278
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of June 9, 2026
View full firm profileOther advisors at IEQ Capital, LLC
Showing 12 of 182 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Warren Frank Mason has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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