Buddy Mason: FINRA Bars Ex-LPL Advisor

Former Lakeland, Florida financial advisor Buddy Mason (CRD# 1721391) was recently sanctioned and barred in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with LPL Financial, doing business as Allen & Company.

A Letter of Acceptance, Waiver, and Consent (No. 2025088717701) describes FINRA’s disciplinary action against Mr. Mason. Filed in October 2026, it alleges that he refused to provide documents and information requested by FINRA as part of its investigation into his conduct. According to the Letter, the investigation originated with a claim filed against LPL Financial by one of Mr. Mason’s former customers. Pursuant to FINRA Rule 8210, the regulator sent him a request to provide information and documents, and then a second request after he did not respond to the first. In a phone call with FINRA, the Letter states, Mr. Mason indicated that he would not fulfill the request. Finding that he violated industry rules, FINRA barred him from associating with any member firm in all capacities.

Mr. Mason’s BrokerCheck report discloses two investor complaints. The most recent, filed in May 2026, alleged that as a representative of LPL Financial, he sold an investment away from his member firm, resulting in losses. The complaint reached a settlement of $10,000.

A second investor complaint, filed in December 2025, similarly alleged that as a representative of LPL Financial, he sold an investment away from the firm. The complaint reached a settlement of $129,500.

According to the Financial Industry Regulatory Authority, Buddy Mason holds eight years of securities industry experience. Most recently based in Lakeland, Florida, he was registered as a broker with LPL Financial from 2019 until 2026. His past registrations include First American National Securities. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Uniform Combined State Law Examination, or Series 66; and the Uniform Securities Agent State Law Examination, or Series 63. He is no longer registered as a broker or as an investment advisor. (Information current as of October 14, 2026.)

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