Eric W. Ma
Professional summary
Eric Wenqi Ma, CFP®, who also goes by Eric W Ma, Eric Wenqi Ma, Wenqi Ma, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA INVESTMENT SERVICES LLC located in Pasadena, California.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Eric has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Eric Wenqi Ma's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2015
Experience
October 3, 2022 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 135 N Los Robles Ave 3rd Fl, Pasadena, CA 91101October 3, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 135 N Los Robles Avenue, Pasadena, CA 91101June 18, 2019 - September 29, 2022
U.S. BANCORP INVESTMENTS, INC.
June 17, 2019 - September 29, 2022
U.S. BANCORP INVESTMENTS, INC.
November 9, 2016 - June 19, 2019
HSBC SECURITIES (USA) INC.
November 8, 2016 - June 19, 2019
HSBC SECURITIES (USA) INC.
January 3, 2011 - October 26, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 26, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 13, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/3/2022)
(10/3/2022)
(7/12/2024)
(10/3/2022)
(10/2/2024)
(10/3/2022)
(10/3/2022)
(10/3/2022)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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