Anne F. 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.
Anne Fong Ma, who also goes by Anne M Fong, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1994. Anne had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 16, Series 7, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2024 - April 17, 2026
TD SECURITIES (USA) LLC
June 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
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 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
