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Eric Ma

Cetera Investment Advisers LLC

Pasadena, CA

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-08-13
CA RA APPROVED 2022-10-03
  • TX RA
    APPROVED
    Since 2026-08-13
  • CA RA
    APPROVED
    Since 2022-10-03

Branch Locations

135 N Los Robles Ave 3Rd Fl, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank Arcadia/San Marino/Diamond Bar CA 08/2005 10/2016
Wells Fargo Advisors Llc Arcadia/Diamond Bar CA 01/2011 10/2016
Hsbc Securities (Usa) Inc San Gabriel CA 11/2016 06/2019
U.S. Bancorp Investments, Inc. Arcadia CA 06/2019 09/2022
Cetera Investment Services Llc St Cloud MN 10/2022 Present
Cetera Investment Advisers Llc Pasadena CA 10/2022 Present
East West Bank Pasadena CA 10/2022 Present
  • 08/2005 → 10/2016
    Wells Fargo Bank
    Arcadia/San Marino/Diamond Bar, CA
  • 01/2011 → 10/2016
    Wells Fargo Advisors Llc
    Arcadia/Diamond Bar, CA
  • 11/2016 → 06/2019
    Hsbc Securities (Usa) Inc
    San Gabriel, CA
  • 06/2019 → 09/2022
    U.S. Bancorp Investments, Inc.
    Arcadia, CA
  • 10/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 10/2022 → Present
    Cetera Investment Advisers Llc
    Pasadena, CA
  • 10/2022 → Present
    East West Bank
    Pasadena, CA
Previous Registrations
  • 2019-06-18 → 2022-09-29
    U.S. Bancorp Investments, Inc.
    Monrovia, CA
    Arcadia, CA
    Hacienda Heights, CA
    Arcadia, CA
    City Of Industry, CA
  • 2016-11-09 → 2019-06-19
    Hsbc Securities (Usa) Inc.
    Arcadia, CA
    San Marino, CA
    Los Angeles, CA
  • 2011-01-03 → 2016-10-26
    Wells Fargo Clearing Services, Llc
    Arcadia, CA
    Pasadena, CA
  • 2005-10-21 → 2011-01-03
    Wells Fargo Investments, Llc
    San Marino, CA
    Arcadia, CA
    City Of Industry, CA
    City Of Industry, CA
    Arcadia, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-20
  • S66 Uniform Combined State Law Examination
    2005-10-20
Designations
Other Names
  • Wenqi Ma
  • Eric W Ma
  • Eric Ma
  • Eric Wenqi Ma

View on SEC IAPD

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