Kwok 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.
Kwok Wai Ma was a registered financial professional .
Kwok is a previously registered financial professional and started their career in finance in 1993. Kwok had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2011 - July 1, 2013
STONECASTLE SECURITIES, LLC
January 9, 1997 - April 6, 2010
GUGGENHEIM SECURITIES, LLC
April 12, 1996 - July 8, 1998
FINANCIAL ASSET MANAGEMENT, INC.
September 15, 1995 - May 21, 1996
EASTERN POINT SECURITIES, INC.
May 18, 1995 - September 18, 1995
BLAYLOCK & COMPANY, INC.
March 31, 1993 - May 16, 1995
PERSHING 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
STONECASTLE SECURITIES, LLC
CRD#: 131211 / SEC#: , 8-66434
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONECASTLE PARTNERS, LLC | SOLE MEMBER | |
| HOLMEN, ROBERT CHRISTOPHER | PRESIDENT, CCO | 2919060 |
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.
