Xiangyu Ma
Professional summary
Xiangyu Ma, who also goes by Roderick Ma, is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Overland Park, Kansas.
Xiangyu is registered as a RR (Registered Representative) and started their career in finance in 2021. Xiangyu has worked at 3 firms and has passed the Series 63, Series 7TO, Series 86, Series 87 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Xiangyu Ma's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2024 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 6301 Glenwood Street, Overland Park, KS 66202May 12, 2022 - May 31, 2024
GOLDMAN SACHS & CO. LLC
October 25, 2021 - May 11, 2022
JEFFERIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/21/2024)
Exams
Series 7TO
Date: 7/12/2022
General Securities Representative ExaminationFINRA
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
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