Howard Ma
Professional summary
Howard Ma, who also goes by Ma Howard, Howard Ma, is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in New York, New York.
Howard is registered as a RR (Registered Representative) and started their career in finance in 2007. Howard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Howard Ma's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2022 - Present
GUGGENHEIM SECURITIES, LLC
Office #1: 330 Madison Avenue, New York, NY 10017May 13, 2019 - May 1, 2020
JEFFERIES LLC
May 4, 2015 - August 20, 2018
JEFFERIES LLC
October 18, 2013 - April 27, 2015
B. RILEY SECURITIES, INC.
April 24, 2013 - October 17, 2013
FM PARTNERS HOLDINGS LLC
December 19, 2012 - February 19, 2013
B. RILEY & CO., LLC
October 19, 2011 - December 14, 2012
CARIS & COMPANY, INC.
October 26, 2009 - March 5, 2010
FORESTERS FINANCIAL SERVICES, INC.
May 19, 2009 - October 9, 2009
INVESTORS CAPITAL CORP.
May 19, 2009 - October 9, 2009
INVESTORS CAPITAL CORP.
June 12, 2007 - December 31, 2007
INVESTORS CAPITAL CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/17/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
(3/16/2022)
Exams
FINRA
Nasdaq Stock Market
Current Firm
GUGGENHEIM SECURITIES, LLC
CRD#: 40638 / SEC#: , 8-49107
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| GUGGENHEIM MANAGER, INC. | MANAGING MEMBER | |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHEIF EXECUTIVE OFFICER | 2263510 |
| WINICK, HOWARD NEIL | PRINCIPAL OPERATIONS OFFICER | 1871689 |
Disclosures
| Regulatory Event | 10 |
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.
