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Detailed Report
Eric Ma
Eric W Ma, Eric Wenqi Ma, Wenqi Ma
CRD#: 5022692
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 135 N LOS ROBLES AVE 3RD FL
PASADENA, CA 91101
CETERA INVESTMENT SERVICES LLCCRD#: 15340 135 N LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2011 (5 years)2 FIRMS2011 - 2016 (5 years)2 FIRMS2016 - 2019 (2 years)2 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
California 10/3/2022
B
Hawaii 10/2/2024
IA
California 10/3/2022
B
New York 10/3/2022
B
Colorado 7/12/2024
B
Oregon 10/3/2022
B
Florida 10/3/2022
B
Washington 10/3/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
135 N LOS ROBLES AVE 3RD FL, PASADENA, CA 91101
Registered with this firm since 10/3/2022
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
135 N LOS ROBLES AVENUE, PASADENA, CA 91101
Registered with this firm since 10/3/2022
Previous Registration(s)
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IA
 06/18/2019 - 09/29/2022 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) HACIENDA HEIGHTS, CA
B
 06/17/2019 - 09/29/2022 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) HACIENDA HEIGHTS, CA
IA
 11/09/2016 - 06/19/2019 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
B
 11/08/2016 - 06/19/2019 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN GABRIEL, CA
IA
 01/03/2011 - 10/26/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PASADENA, CA
B
 01/03/2011 - 10/26/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) PASADENA, CA
IA
 10/21/2005 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ARCADIA, CA
B
 10/13/2005 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) ARCADIA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.