Thomas D. Mason joined Charles W. Mason & Associates, Inc. in January 2015 as the Director of Business Development. Thomas now serves as the firm’s Chief Compliance Officer. In his role, Thomas is responsible for leading an effective culture of compliance within the firm. He is responsible for maintaining and administering the RIA compliance program pursuant to the Securities and Exchange Commission standards, which includes maintaining policies and procedures, performing testing, and executing various regulatory filings. With the ever-increasing complexities of our industry and new regulatory rule making, Thomas is also responsible for organizing and maintaining proper record-keeping of all policies, filings, and certifications required.

In addition to his role as Chief Compliance Officer, Thomas also runs a successful Estate Planning practice. In this role, he provides highly customized estate planning and settlement solutions that meld convenience with exceptional client experience. Thomas utilizes his legal knowledge to create practical solutions for complex planning and trust settlement issues.

Thomas received his undergraduate degree from California State University, Long Beach. He received his law degree from California Western School of Law and is an active member of the California State Bar Association.

In his spare time, Thomas enjoys tutoring at risk youth, both at the high school and grammar school levels, helping them prepare for standardized testing. He is an avid golfer and enjoys playing basketball, traveling and spending time with family and friends. Thomas lives in Pasadena with his wife Jamie and their two children: Ryan and Taylor.