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David K. Ma

Charles Schwab & CO., Inc.

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About David K. Ma

David K. Ma is a financial professional with over 16 years of experience in the securities industry. David is currently registered with Charles Schwab & Co., Inc., and has previously held positions at J.P. Morgan Securities LLC and Citigroup Global Markets Inc. David holds the Series 7, Series 63, and SIE licenses, and is registered in all 50 states and the District of Columbia. David's primary focus is on providing financial planning and investment advice to individuals and families.

Firm Information

David Ma is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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David Ma’s Registration & Firm History

TX

08/06/2020 - Present

Charles Schwab & CO., Inc. (Westlake TX)

NY

05/09/2019 - 07/30/2020

J.P. MORGAN SECURITIES LLC (GREAT NECK NY)

NY

10/07/2014 - 01/12/2018

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

12/06/2004 - 02/04/2013

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/03/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/12/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/05/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David K. Ma.
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