Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yuen? Claim Your ProfileYuen San Ma is a financial professional with over 2 years of experience in the industry. Yuen San is currently registered with Raymond James & Associates, Inc. and has previously worked with EXOS Securities LLC and FORGE Securities LLC. Yuen San holds several licenses including Series 63, Series 7TO, Series 57TO, Series 99TO, and SIE.
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.
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.
Please see note in schedule d - miscellaneous
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
NY
01/12/2022 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
11/11/2021 - 12/17/2021
EXOS SECURITIES LLC (NEW YORK NY)
CA
11/12/2019 - 10/22/2021
FORGE SECURITIES LLC (San Francisco CA)
BC
Issued 07/03/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2022
Series 57TO - Securities Trader Exam
BC
Issued 01/04/2021
Series 7TO - General Securities Representative Examination
BC
Issued 11/12/2019
Series 99TO - Operations Professional Examination
BC
Issued 02/14/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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