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Joseph C Mah

DRAGON FINANCIAL AND INVESTMENT GROUP, LLC·SAN MATEO, California
Series 65Clean record12 years registeredDRAGON FINANCIAL AND INVESTMENT GROUP, LLC
1700 S. EL CAMINO REAL, SAN MATEO, CA 94402CRD# 6301786Firm CRD# 282113

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Joseph C Mah · SAN MATEO, CA
Registration
CRD #6301786 · DRAGON FINANCIAL AND INVESTMENT GROUP, LLC · 12 years registered
Brand Profile
Not yet started
01

Career History

No current investment adviser registration
Last registered firm: DRAGON FINANCIAL AND INVESTMENT GROUP, LLC
MERCER GLOBAL ADVISORS INC.
Feb 2019 – Apr 2025
Walnut Creek, CA
DRAGON FINANCIAL GROUP
Jan 2016 – Jul 2020
SAN MATEO, CA
DRAGON FINANCIAL GROUP
Mar 2014 – May 2016
SAN MATEO, CA
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · March 28, 2014
Years registered · 12
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
DRAGON FINANCIAL AND INVESTMENT GROUP, LLC
CRD 282113 · SEC 801-106920
AUM
—
Regulatory assets under management
Employees
7
Total firm employees
Services offered by DRAGON FINANCIAL AND INVESTMENT GROUP, LLC
Per Form ADV
Financial planning
Client types served by the firm
Per Form ADV
High Net Worth Individuals
View all advisors at DRAGON FINANCIAL AND INVESTMENT GROUP, LLC →
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05

Frequently Asked Questions

What services does Joseph C Mah offer?
Joseph C Mah specializes in Financial Planning.
What are Joseph C Mah's credentials?
Joseph C Mah is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Joseph C Mah located?
Joseph C Mah is based in SAN MATEO, California, last registered with DRAGON FINANCIAL AND INVESTMENT GROUP, LLC.
How does Joseph C Mah charge for services?
Joseph C Mah's firm is compensated through percentage of aum, hourly charges, subscription fees, other: semiannual charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is DRAGON FINANCIAL AND INVESTMENT GROUP, LLC?
DRAGON FINANCIAL AND INVESTMENT GROUP, LLC has approximately 7 employees. The firm is registered with the SEC as an investment adviser.
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