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Mark Quien Haley

Mai Capital Management, LLC

San Diego, CA

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Current Employers
Mai Capital Management, Llc

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-07-14
CA RA APPROVED 2022-07-11
TX RA APPROVED 2022-07-11
  • OH RA
    APPROVED
    Since 2022-07-14
  • CA RA
    APPROVED
    Since 2022-07-11
  • TX RA
    APPROVED
    Since 2022-07-11

Branch Locations

San Diego, CA • 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
Winfield Associates, Inc. Cleveland OH 11/2003 06/2022
Mai Capital Management Llc Cleveland OH 06/2022 Present
Previous Registrations
  • 2004-03-10 → 2022-07-05
    Winfield Associates Inc
    Cleveland, OH
    San Diego, CA
    San Diego, CA
    Cleveland, OH
  • 2001-02-20 → 2003-11-18
    Citigroup Global Markets Inc.
    Cleveland, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-02
S63 Uniform Securities Agent State Law Examination 2001-01-31
  • S65 Uniform Investment Adviser Law Examination
    2001-02-02
  • S63 Uniform Securities Agent State Law Examination
    2001-01-31

View on SEC IAPD

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