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Howard Ma

Guggenheim Securities, LLC

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About Howard Ma

Howard Ma is a financial professional with over a decade of experience in the industry. Howard is currently registered with Guggenheim Securities, LLC. Prior to joining Guggenheim Securities, LLC, Howard was registered with Jefferies LLC, FBR Capital Markets & Co., Lazard Capital Markets LLC, B. Riley & Co., LLC, Caris & Company, Inc., First Investors Corporation, and Investors Capital Corp.. Howard has a strong background in investment banking and capital markets, and holds a Series 7, Series 63, Series 86, Series 87, and SIE license.

Firm Information

Howard Ma is currently registered with Guggenheim Securities, LLC. Guggenheim Securities, LLC is a Limited Liability Company formed in January 1999. The firm is registered with the SEC and all 50 states, as well as the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

107

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.

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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Howard Ma’s Registration & Firm History

TX

03/16/2022 - Present

Guggenheim Securities, LLC (Austin TX)

NY

05/13/2019 - 05/01/2020

JEFFERIES LLC (NEW YORK NY)

NY

05/04/2015 - 08/20/2018

JEFFERIES LLC (NEW YORK NY)

NY

10/18/2013 - 04/27/2015

FBR CAPITAL MARKETS & CO. (NEW YORK NY)

NY

04/24/2013 - 10/17/2013

LAZARD CAPITAL MARKETS LLC (NEW YORK NY)

NY

12/19/2012 - 02/19/2013

B. RILEY & CO., LLC (NEW YORK NY)

NY

10/19/2011 - 12/14/2012

CARIS & COMPANY, INC. (NEW YORK NY)

NY

10/26/2009 - 03/05/2010

FIRST INVESTORS CORPORATION (NEW YORK NY)

NY

05/19/2009 - 10/09/2009

INVESTORS CAPITAL CORP. (FLUSHING NY)

NY

06/12/2007 - 12/31/2007

INVESTORS CAPITAL CORP. (FLUSHING NY)

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Licenses & Designations

IA

Issued 09/29/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/22/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/20/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/2013

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 09/07/2013

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 06/11/2007

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 Howard Ma.
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