Andrew L. Ma
Professional summary
Andrew Lin Ma is a registered financial professional currently at SOVEREIGN GLOBAL ADVISORS LLC located in Denver, Colorado.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1995. Andrew has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Lin Ma's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 5, 2018 - Present
SOVEREIGN GLOBAL ADVISORS LLC
Office #1: 501 S Cherry Street 11th Floor, Denver, CO 80246January 9, 2009 - October 19, 2018
CANTELLA & CO., INC.
May 28, 2002 - January 23, 2009
GUNNALLEN FINANCIAL, INC
October 15, 1997 - May 28, 2002
TZ CLEAR LLC
December 12, 1995 - July 22, 1997
NEWBY & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/5/2018)
(12/18/2020)
(10/26/2018)
(12/21/2018)
(10/5/2018)
(10/29/2018)
(12/6/2018)
(10/5/2018)
(10/5/2018)
(11/5/2018)
(10/31/2018)
(10/5/2018)
(11/26/2018)
Exams
FINRA
Current Firm
SOVEREIGN GLOBAL ADVISORS LLC
CRD#: 167663 / SEC#: , 8-69274
Contact information
FINRA licenses (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 3,583,152 |
Red Flags
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