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Mai Capital Management, LLC CRD 109807
$52.1B regulatory AUM 132 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-06-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mai Capital Management, Llc | Cleveland | OH | 05/2026 | Present |
| Pnc Bank | Houston | TX | 02/2025 | 05/2026 |
| Mercer Global Advisors, Inc. | Houston | TX | 08/2016 | 01/2019 |
| Transform Wealth, Llc F.K.A. Carnick & Kubik Group, Llc | Denver | CO | 07/2019 | 04/2021 |
| Unemployed | Houston | TX | 02/2019 | 07/2019 |
| The Prudential Insurance Company Of America | Houston | TX | 04/2021 | 04/2022 |
| Pruco Securities Llc | Houston | TX | 04/2021 | 04/2022 |
| First Horizon Advisors | Houston | TX | 04/2022 | 01/2025 |
FEED THE FORGOTTEN POSITION: Treasurer NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 04/01/2021 ADDRESS: 6142 Briar Rose Dr, Houston TX 77057, United States DESCRIPTION: Raise money for our charity to feed the homeless.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-03-03 |
| S66 | Uniform Combined State Law Examination | 2005-02-08 |
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