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John Ma

Morgan Stanley & Co. LLC

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About John Ma

John Ma is a financial advisor at Morgan Stanley & Co. LLC, a leading global financial services firm. John has over 20 years of experience in the financial services industry, having previously worked at Goldman, Sachs & Co. John is registered with the Financial Industry Regulatory Authority (FINRA) and holds several securities licenses, including Series 7, Series 9, Series 10, and Series 66. John is a dedicated advisor who is committed to providing his clients with personalized financial advice and investment solutions.

Firm Information

John Ma is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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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John Ma’s Registration & Firm History

CA

09/16/2005 - Present

Morgan Stanley & Co. LLC (San Francisco CA)

NY

07/24/2001 - 08/22/2005

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 01/28/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/29/2015

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/09/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/19/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for John Ma.
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