Jun 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.
Jun Ma, who also goes by John Ma, was a registered financial professional .
Jun is a previously registered financial professional and started their career in finance in 1996. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2014 - March 3, 2025
CVCAPITAL SECURITIES, LLC
July 26, 2006 - March 5, 2013
ROTH CAPITAL PARTNERS, LLC
April 30, 2003 - July 28, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
April 30, 2003 - July 28, 2006
AMERICAN GENERAL SECURITIES INCORPORATED
December 2, 2002 - April 25, 2003
QUICK & REILLY, INC.
October 6, 1999 - April 25, 2003
QUICK & REILLY, INC.
April 18, 1996 - October 27, 1999
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CVCAPITAL SECURITIES, LLC
CRD#: 152765 / SEC#: , 8-68474
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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