Eric Ma is a CFP-designated registered investment advisor, based in Pasadena, CA, with 20 years of industry experience.
Location
135 N Los Robles Ave 3rd Fl, Pasadena, CA, 91101
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Services LLCBroker
October 2022 - Present · 3 yrs 7 mos
Cetera Investment Advisers LLC
October 2022 - Present · 3 yrs 7 mos
Previous Registrations
U.S. Bancorp Investments, INC.
June 2019 - September 2022 · 3 yrs 3 mos
U.S. Bancorp Investments, INC.Broker
June 2019 - September 2022 · 3 yrs 3 mos
Hsbc Securities (USA) INC.
November 2016 - June 2019 · 2 yrs 7 mos
Hsbc Securities (USA) INC.Broker
November 2016 - June 2019 · 2 yrs 7 mos
Wells Fargo Advisors, LLC
January 2011 - October 2016 · 5 yrs 9 mos
Wells Fargo Advisors, LLCBroker
January 2011 - October 2016 · 5 yrs 9 mos
Wells Fargo Investments, LLC
October 2005 - January 2011 · 5 yrs 3 mos
Wells Fargo Investments, LLCBroker
October 2005 - January 2011 · 5 yrs 3 mos
State Registrations8 states
CACOFLHINVNYORWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.