Johnathan Ma

PRECEPT ADVISORY GROUP LLC

Irvine, CA 92617

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CRD#: 6244163

Professional summary

Johnathan Ma is a registered financial advisor currently at PRECEPT ADVISORY GROUP LLC located in Irvine, California.

Johnathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Johnathan has worked at 5 firms and has passed the Series 65, Series 63, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnathan 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®

None

Experience

Current

August 3, 2023 - Present

PRECEPT ADVISORY GROUP LLC

Office #1: 130 Theory Suite 200, Irvine, CA 92617

RIA

CRD#: 152776

Irvine, CA

Past

July 16, 2021 - July 19, 2023

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Chula Vista, CA

Past

June 1, 2021 - July 19, 2023

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

December 7, 2018 - February 4, 2021

LPL FINANCIAL LLC

CRD#: 6413

PASADENA, CA

Past

January 3, 2014 - October 2, 2018

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

MONROVIA, CA

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".

PRECEPT ADVISORY GROUP LLC

F.B.P. INSURANCE SERVICES, INC. | PRECEPT GROUP | PRECEPT ADVISORY GROUP LLC

CRD#: 152776 / SEC#: 801-71072

RIA

Registered Investment Advisory firm - (2/8/2010 Approved)

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

California
(8/3/2023)

IAR

Texas
(8/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/12/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/21/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/2/2014

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PRECEPT ADVISORY GROUP LLC

F.B.P. INSURANCE SERVICES, INC. | PRECEPT GROUP | PRECEPT ADVISORY GROUP LLC

CRD#: 152776 / SEC#: 801-71072

RIA

Registered Investment Advisory firm - (2/8/2010 Approved)

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Contact information

Main Address

130 Theory Suite 200, Irvine, CA 92617

Mailing Address

Phone number

(800) 344-1430

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	63
AUM (Assets Under Management)	$ 5,008,561,864

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.

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Advisor Monitoring

Firm Stability Insights

Johnathan Ma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johnathan Ma's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PRECEPT ADVISORY GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/2021

Series 63

Date: 1/21/2014

SIE

Date: 10/1/2018

Series 6

Date: 1/2/2014

Current Firm

PRECEPT ADVISORY GROUP LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRECEPT ADVISORY GROUP LLC

TRUST BUT VERIFY

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