YM
Yun Ma
TRANSAMERICA FINANCIAL ADVISORS
Gaithersburg, MD 20877
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CRD#: 7395633
YM
Professional summary
Yun Ma is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Gaithersburg, Maryland.
Yun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Yun has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE 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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Agent Pipeline, Inc / 0821-Prsnt / Inv Rltd No / 114 smiley Dr, Ste. 1, St. Albans WV 25177 / Ind Brkr / Medicare support platform / Hrs. Work Mnth: 2 / Sec Trading Hrs: 0 / Help clients to search and compare their Medicare pln through Agent Pipeline's platform. IHC Specialty Benefits, Inc./ 0120-Prsnt / Inv Rltd No / 5353 Wayzata Blvd Ste. 300 Minneapolis, MN 55416 / Ind Brkr /Short-term hlth pln/ Hrs. Work Mnth: 0.5 / Sec Trading Hrs:0 / Help clients get quotation and purchase the short-term hlth pln National General Ins. Company /0320-Prsnt / Inv Rltd No / 5630 University Parkway Winston-Salem, SC 27105 / Ind Brkr / Short-term hlth plan/ Hrs. Work Mnth: 0.5/ Sec Trading Hrs: 0 / Help clients to get quotation and purchasing short-term hlth ins. pln. This is the rental house of our family/ 0413-Prsnt / Inv Rltd No / 43058 Shadow Terrance Leesburg, VA 20176 / Owner of the Property / Rental Property / Hrs. Work Mnth: 2 / Sec Trading Hrs: 1 / Responsibility to keep the house in a good cond, Employee Benefits Corporation of America / 0921-Prsnt / Inv Rltd No / 1410 Spring Hill Road, Ste. 150 Mclean, VA 22102 / Ind Brkr/ Ins. General Agency / Hrs. Work Mnth: 22 / Sec Trading Hrs.: 1 / Make appointments with ins. companies and Marketplace through EBCA. In addition, they provide more training courses and support services to agent and brokers. Agent got the ins. companies commission through EBCA no extra pay from EBCA. INS. MARKETING CENTER/Inv.Rltd- No/1101 Wootton Parkway, Ste. 820 Rockville, MD. 20852 / Established in 1987, Ins. Marketing Center is a leading wholesale distributor of quality group and individual hlth ins. products in the Washington DC Metro Area. We offer the most competitive carriers and plan designs in the marketplace./Ind Brkr/08.2019/20/4/Help individuals and families to apply and select hlth ins. pln. GS NATIONAL INS/Inv.Rltd- No/300 Bilmar Dr Ste. 200 Pittsburgh, PA 15205 /ins. general agency/Ind Brkr/09.2020/help clients who need the Medicare pln through GS national platform. KEY HLTH SOLUTIONS,INC./Inv.Rltd- No/6420 Grovedale Dr, Ste. 200 Alexandria, VA 22310 /Key Hlth Solutions, Inc focuses its expertise and experience on assisting people in finding affordable and suitable ins.. With our clients and 8217; best interests in mind, we compare the pln of various major ins. companies, then suggest the best and most suitable pln to our clients./Ind Brkr/10.2020/10/2/Run my Medicare business with the support from the company, and make the appointment with ins. companies through the company. INSUBUY, INC/Inv.Rltd- No/4200 Mapleshade Ln Ste. 200,lano, TX 75093/ Established in 2000, Insubuy, Inc. is an Insure Tech company and an online marketplace for visitors ins., international travel medical ins., international student hlth ins., exchange visitors ins., and trip cancellation ins. for individuals, groups, multinational companies, international workers, and others. On Insubuy.com, people can get instant quotes for various pln, make side-by-side comparisons, and make an instant purchase of most ins. pln./Ind Brkr/06.2020/2/1/International travel medical ins. pln HeLTHSHERPA/Inv.Rltd- No/1215 19th Street, Sacramento, California 95811/independent Broker / HlthSherpa is a certified web broker / Hrs. Work Monthly: 16 / Sec Trading Hrs.: 8 / Help clients to apply and select the qualified health plan through the platform. KYROS AI CORP POSITION: College Success Advisor NATURE: AI-based platform providing college admission preparation solutions. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/10/2023 ADDRESS: 622 LOMA VERDE AVENUE, PALO ALTO CA 94306, United States DESCRIPTION: Provide marketing opportunities together with Kyros to expend both WFG and Kyros business.
CRS (Client Relationship Summary) - RIA
Click below to view Yun Ma's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yun 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
September 27, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 702 Russell Avenue Suite 300, Gaithersburg, MD 20877RIA
BD
CRD#: 16164
Gaithersburg, MD
Current
July 8, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 702 Russell Avenue Suite 300, Gaithersburg, MD 20877RIA
BD
CRD#: 16164
Gaithersburg, MD
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Delaware(9/1/2022)
RR
Maryland(7/8/2021)
IAR
Maryland(9/27/2022)
RR
Virginia(9/9/2021)
IAR
Virginia(9/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/8/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
