Frank W. Ma
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Wing Fai Ma was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1981. Frank had worked at 5 firms and has passed the Series 63, Series 55, Series 3, Series 15, Series 5, Series 7, Series 24, Series 4, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2005 - September 6, 2006
GLB TRADING, INC
February 16, 1989 - June 28, 2005
FM PACIFIC CAPITAL MANAGEMENT, INC.
April 4, 1988 - August 30, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 1981 - June 8, 1982
M. S. WIEN & CO., INC.
November 2, 1981 - March 16, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/27/2004
Limited Representative-Equity Trader ExamSeries 15
Date: 3/18/1985
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationCurrent Firm
GLB TRADING, INC
CRD#: 125363 / SEC#: , 8-65790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECHMAN, ROBERT TRUST 08/14/06 | OWNER | |
| LECHMAN, ROBERT ALLEN | PRESIDENT, CEO, FINOP, CFO & CCO | 1045237 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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