Jan 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.
Jan Ma, who also goes by Jimmy J Ma, Jimmy Jan Ma, was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 2011. Jan had worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2020 - January 22, 2020
INVESTACORP ADVISORY SERVICES INC
January 14, 2020 - January 22, 2020
INVESTACORP, INC.
February 13, 2012 - August 9, 2019
MORGAN STANLEY
November 7, 2011 - August 9, 2019
MORGAN STANLEY
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
INVESTACORP ADVISORY SERVICES INC
CRD#: 109011 / SEC#: 801-57738
Contact information
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.
