Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames K. Ma is a financial advisor with over 20 years of experience in the industry. James is currently registered with Fidelity Personal and Workplace Advisors in Flushing, New York and has been registered with the firm since September 2022. Previously, James worked at J.P. Morgan Securities LLC, LPL Financial LLC, Capital One Investment Services LLC, Greenpoint Securities LLC, and Essex National Securities, Inc. James is a licensed representative for securities and insurance products and holds licenses to provide financial planning services, and manages portfolios for individuals and businesses. James Ma is committed to providing personalized financial advice to help his clients achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NY
10/06/2022 - Present
Fidelity Personal AND Workplace Advisors (FLUSHING NY)
NY
03/02/2015 - 09/03/2022
J.P. MORGAN SECURITIES LLC (COLLEGE POINT NY)
NY
08/13/2013 - 10/29/2013
LPL FINANCIAL LLC (BAYSIDE NY)
NY
01/03/2005 - 05/20/2013
CAPITAL ONE INVESTMENT SERVICES LLC (FLUSHING NY)
NY
01/02/2004 - 01/03/2005
GREENPOINT SECURITIES LLC (LAKE SUCCESS NY)
CA
10/08/1998 - 01/02/2004
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
BOTH
Issued 10/20/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/27/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/12/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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