• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
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
20062008201020122014201620182020202220242 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

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)
th hidden textth hidden textNameLocation
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
B
Broker
IA
Investment Adviser
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.