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EM

Erwin S. Ma

Some features on this profile are disabled
CRD#: 4738446
EM

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.

Erwin Shek-lone Ma, CIMA® was a registered financial professional .

Erwin is a previously registered financial professional and started their career in finance in 2004. Erwin had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Past

December 10, 2019 - July 11, 2022

PACIFIC FINANCIAL GROUP, LLC

RIA
CRD#: 143041
Bellevue, WA
Past

January 10, 2017 - July 11, 2022

THE PACIFIC FINANCIAL GROUP, INC.

RIA
CRD#: 105203
BELLEVUE, WA
Past

October 5, 2015 - January 5, 2017

MORGAN STANLEY

RIA
CRD#: 149777
SEATTLE, WA
Past

June 26, 2013 - January 5, 2017

MORGAN STANLEY

BD
CRD#: 149777
SEATTLE, WA
Past

December 4, 2009 - August 31, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SEATTLE, WA
Past

June 30, 2005 - November 10, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SEATTLE, WA
Past

June 30, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 30, 2005 - November 10, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SEATTLE, WA
Past

March 23, 2004 - March 16, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PF
PACIFIC FINANCIAL GROUP, LLC
PACIFIC FINANCIAL GROUP, LLC | THE ELEMENTS GROUP INVESTMENT ADVISORY, LLC | THE ELEMENTS GROUP | THE ELEMENTS FINANCIAL GROUP, LLC | PACIFIC FINANCIAL GROUP,LLC

CRD#: 143041 / SEC#: 801-68318

RIA
Registered Investment Advisory firm - (9/27/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2004
General Securities Representative Examination

Current Firm

PF
PACIFIC FINANCIAL GROUP, LLC
PACIFIC FINANCIAL GROUP, LLC | THE ELEMENTS GROUP INVESTMENT ADVISORY, LLC | THE ELEMENTS GROUP | THE ELEMENTS FINANCIAL GROUP, LLC | PACIFIC FINANCIAL GROUP,LLC

CRD#: 143041 / SEC#: 801-68318

RIA
Registered Investment Advisory firm - (9/27/2007 Approved)
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Contact information

Main Address
1920 Adelicia Street Suite 500, Nashville, TN 37212
Mailing Address
900 20th Avenue South Suite 500, Nashville, TN 37212
Phone number
(425) 451-7722
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts18
AUM (Assets Under Management)$ 3,759,819,330

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.

Company Information

PACIFIC FINANCIAL GROUP, LLC

CRD#: 143041

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