Anne F. Ma
Professional summary
Anne Fong Ma, who also goes by Anne M Fong, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Anne is registered as a RR (Registered Representative) and started their career in finance in 1994. Anne has worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 16, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anne Fong Ma's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017June 13, 2016 - December 19, 2024
COWEN AND COMPANY
May 5, 2014 - June 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
August 2, 2011 - May 6, 2014
NATWEST MARKETS SECURITIES INC.
April 8, 1998 - February 28, 2008
BANC OF AMERICA SECURITIES LLC
April 24, 1997 - March 12, 1998
WELLS FARGO SECURITIES, LLC
May 6, 1994 - February 10, 1997
ROBERTSON, STEPHENS & COMPANY LLC
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
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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