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YM

Yuen S. Ma

RQD* CLEARING
New York, NY 10007
Some features on this profile are disabled
CRD#: 6595947
YM

Professional summary

Yuen San Ma, who also goes by Yuen San Ma, Yuen S Ma-klopatowski, Yuen San Ma-klopatowski, Yuen Ma-klopatowski, Yuen San Ma, is a registered financial professional currently at RQD* CLEARING, LLC located in New York, New York.

Yuen is registered as a RR (Registered Representative) and started their career in finance in 2019. Yuen has worked at 5 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yuen San Ma | Yuen S Ma-Klopatowski | Yuen San Ma-Klopatowski | Yuen Ma-Klopatowski | Yuen San Ma

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) - BD

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

May 9, 2025 - Present

RQD* CLEARING, LLC

Office #1: One World Trade Center Suite 47m, New York, NY 10007
BD
CRD#: 134284
New York, NY
Past

April 2, 2025 - April 15, 2025

ALPACA SECURITIES LLC

BD
CRD#: 288202
NEW YORK, NY
Past

January 12, 2022 - November 18, 2024

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

November 11, 2021 - December 17, 2021

EXOS SECURITIES LLC

BD
CRD#: 298276
NEW YORK, NY
Past

November 12, 2019 - October 22, 2021

FORGE SECURITIES LLC

BD
CRD#: 134596
San Francisco, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/14/2022
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/4/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/12/2019
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 2/14/2019
Securities Industry Essentials Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

RC
RQD* CLEARING, LLC
COMPASS PROFESSIONAL SERVICES, LLC | VOLANT SECURITIES, LLC | VOLANT EXECUTION, LLC | RQD* CLEARING, LLC | EQUITEC COMPASS, LLC | COMPASS SERVICES, LLC

CRD#: 134284 / SEC#: , 8-66826

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One World Trade Center Suite 47m, New York, NY 10007
Mailing Address
One World Trade Center Suite 47m, New York, NY 10007
Phone number
(646) 804-7900
Established
Delaware since 02/19/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RQD HOLDING INC.OWNER
DEROSA, ANTHONY ROCCOCFO & FINOP7462224
DONNELLY, BRIAN PATRICKFOUNDER AND CHAIRMAN4906429
LOUIS, NICOLASCOO4785115
SANOCKI, MICHAELCEO6681188
WANZOR, FRANKCHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event6

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.

Company Information

RQD* CLEARING, LLC

CRD#: 134284New York, NY 10007

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