HM
He Ma
CSP FINANCIAL GROUP LLC
Scottsdale, AZ 85260
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CRD#: 6007638
HM
Professional summary
He Ma is a registered financial advisor currently at CSP FINANCIAL GROUP LLC located in Scottsdale, Arizona.
He is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. He has worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) LIFETIME FINANCIAL GROUP, LLC; SCOTTSDALE, AZ; INVESTMENT RELATED; INSURANCE AGENT; 6/2017. 2) INDEPENDENT HEALTH INSURANCE AGENT; PHOENIX, AZ; INVESTMENT RELATED; HEALTH INSURANCE AGENT; 07/2018; 3) GOHEALTH; INVESTMENT RELATED; CHICAGO, IL; SENIOR BENEFIT CONSULTANT, LEVEL II; APPROXIMATELY 160 HRS/MONTH; START 04/2023. 4) JM CAPITAL GROUP LLC; PHOENIX, AZ; OWNER; INVESTMENT RELATED; BUSINESS SET UP FOR TAX PURPOSES; 03/2019. GREATER THAN 50% OF TIME SPENT IN THE ABOVE PRACTICES. 5) STRATEGIC HEALTHCARE FINANCIAL ADVISORS LLC; NOT INV RELATED; CONSULTANT; OLATHE, KS; 04/2022. GREATER THAN 50% OF TIME SPENT IN THE ABOVE PRACTICES. 6)AUTOCAD DESIGNER FOR GRANTHAM DESIGNING; NO COMMISSION; GETTING COMPENSATED BY PROJECT; RIGHT NOW AM IN TRAINING. 7) WESTERN INSURANCE ADVISORS; HEALTH INSURANCE POLICIES.
CRS (Client Relationship Summary) - RIA
Click below to view He Ma's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 10, 2024 - Present
CSP FINANCIAL GROUP LLC
Office #1: 14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260RIA
CRD#: 310819
Scottsdale, AZ
Past
August 22, 2017 - June 6, 2024
LIFETYME FINANCIAL ADVISORS, LLC
RIA
CRD#: 159809
SCOTTSDALE, AZ
Past
October 30, 2014 - November 30, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MESA, AZ
Past
October 14, 2014 - November 30, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MESA, AZ
Past
January 9, 2014 - August 21, 2014
PFS INVESTMENTS INC.
RIA
CRD#: 10111
TINTON FALLS, NJ
Past
December 12, 2013 - January 3, 2014
PFS INVESTMENTS INC.
RIA
CRD#: 10111
TINTON FALLS, NJ
Past
June 29, 2013 - August 21, 2014
PFS INVESTMENTS INC.
BD
CRD#: 10111
TINTON FALLS, NJ
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".
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(6/17/2024)
IAR
Texas(6/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CF
CSP FINANCIAL GROUP LLC
CSP FINANCIAL GROUP LLC
CRD#: 310819 / SEC#: 801-128346
RIA
Registered Investment Advisory firm - (7/14/2023 Approved)Arizona
Registered Investment Advisory firm - (7/17/2023 Terminated)California
Registered Investment Advisory firm - (8/16/2023 Terminated)District of Columbia
Registered Investment Advisory firm - (7/17/2023 Terminated)Florida
Registered Investment Advisory firm - (7/17/2023 Terminated)Georgia
Registered Investment Advisory firm - (7/17/2023 Terminated)Iowa
Registered Investment Advisory firm - (7/17/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/18/2023 Terminated)Maryland
Registered Investment Advisory firm - (8/8/2023 Terminated)New York
Registered Investment Advisory firm - (7/17/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/3/2023 Terminated)South Carolina
Registered Investment Advisory firm - (7/17/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/17/2023 Terminated)Texas
Registered Investment Advisory firm - (7/17/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/22/2023 Terminated)West Virginia
Registered Investment Advisory firm - (7/24/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14300 North Northsight Blvd Suite 120, Scottsdale, AZ 85260
Mailing Address
Phone number
(480) 600-9626
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186 |
| AUM (Assets Under Management) | $ 30,345,692 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
