Hsin-sheng 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.
Hsin-sheng Ma, who also goes by Clay Ma, Clayton Ma, was a registered financial professional .
Hsin-sheng is a previously registered financial professional and started their career in finance in 2016. Hsin-sheng had worked at 4 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2018 - July 10, 2019
LOCKTON INVESTMENT SECURITIES, LLC
August 8, 2018 - July 10, 2019
LOCKTON INVESTMENT ADVISORS, LLC
January 9, 2018 - July 24, 2018
PRIME CAPITAL FINANCIAL
April 8, 2016 - January 5, 2018
ASCENDE WEALTH ADVISERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LOCKTON INVESTMENT SECURITIES, LLC
CRD#: 137476 / SEC#: , 8-67090
Contact information
FINRA licenses (52 States and Territories)
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.
