James K. Ma
Professional summary
James K. Ma, who also goes by James Gard Ma, James K Ma, James Kong-gard Ma, James Ma, James Kong Ma, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Bayside, New York and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James K. Ma's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
September 30, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917October 5, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 3, 2015 - September 3, 2022
J.P. MORGAN SECURITIES LLC
March 2, 2015 - September 3, 2022
J.P. MORGAN SECURITIES LLC
August 19, 2013 - October 29, 2013
LPL FINANCIAL LLC
August 13, 2013 - October 29, 2013
LPL FINANCIAL LLC
January 3, 2005 - May 20, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
January 14, 2004 - May 20, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
January 2, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
October 31, 2003 - September 1, 2004
ESSEX NATIONAL SECURITIES, LLC
October 8, 1998 - January 2, 2004
ESSEX NATIONAL SECURITIES, LLC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
