Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Ma is a financial advisor with Wells Fargo Clearing Services, LLC. Jeffrey has been in the securities industry since 2012. Jeffrey is registered with both FINRA and the states of Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Indiana, Iowa, Louisiana, Maryland, Massachusetts, Missouri, Nevada, New Jersey, New Mexico, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, and Washington. Jeffrey holds the following securities licenses: Series 7, Series 9, Series 10, Series 66, and SIE. Jeffrey provides investment consulting services to institutional clients, financial planning, pension consulting, portfolio management for businesses, and portfolio management for individuals.
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.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
03/20/2024 - Present
Wells Fargo Clearing Services, LLC (ENCINO CA)
CA
06/23/2016 - 03/29/2024
HSBC SECURITIES (USA) INC. (Arcadia CA)
CA
09/05/2013 - 05/31/2016
CETERA INVESTMENT SERVICES LLC (PASADENA CA)
CA
05/12/2010 - 09/07/2011
MORGAN STANLEY SMITH BARNEY (PASADENA CA)
BOTH
Issued 07/06/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/19/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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