Jun Ma
Professional Summary
Jun Ma, who also goes by John Ma, was a registered financial advisor. Jun was a previously registered financial professional and started their career in finance 1996 - 2025. Jun had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 79, Series 87, Series 7, Series 6, Series 24 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Ma
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
CV CAPITAL SECURITIES, LLC | RELIQUID CAPITAL NETWORK, LLC | NEW WEST DIRECT CAPITAL, LLC | CVCAPITAL SECURITIES, LLC
Contact Information
Established
Colorado since 12/07/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2011About the Series 79 examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Aug 2006About the Series 87 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1996About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1996About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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