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Philip Jeffrey Cole

Mai Capital Management, LLC

Bannockburn, IL

CRD 4395294

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Employer firm

Mai Capital Management, LLC CRD 109807

$52.1B regulatory AUM 132 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
Mai Capital Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-23
WI RA APPROVED 2026-07-23
IL RA APPROVED 2021-12-22
  • TX RA
    APPROVED
    Since 2026-07-23
  • WI RA
    APPROVED
    Since 2026-07-23
  • IL RA
    APPROVED
    Since 2021-12-22

Branch Locations

2201 Waukegan Road Suite 175, Bannockburn, IL 60015 • 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
Cetera Financial Specialists Llc Schaumburg IL 02/2009 12/2021
Hochman Cole Investment Advisors, Inc. Deerfield IL 03/2009 12/2021
Mai Capital Management Bannockburn IL 12/2021 Present
  • 02/2009 → 12/2021
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 03/2009 → 12/2021
    Hochman Cole Investment Advisors, Inc.
    Deerfield, IL
  • 12/2021 → Present
    Mai Capital Management
    Bannockburn, IL
Previous Registrations
  • 2009-03-05 → 2021-12-09
    Hochman Cole Investment Advisors, Inc.
    Deerfield, IL
  • 2012-10-12 → 2012-10-24
    Cetera Investment Advisers Llc
    Northbrook, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-12
S63 Uniform Securities Agent State Law Examination 2001-10-03
  • S66 Uniform Combined State Law Examination
    2009-01-12
  • S63 Uniform Securities Agent State Law Examination
    2001-10-03
Designations
  • Certified Financial Planner
Other Names
  • Phil Cole
  • Philip J. Cole

View on SEC IAPD

Nearby Firms

KGL FINANCIAL ADVISORS, LLC
KESTRA ADVISORY SERVICES, LLC
CRYSTAL ROCK CAPITAL MANAGEMENT, LLC.

Nearby Investors

EDWARD GERARD LESZYNSKI
DOUGLAS OWEN ACKERMAN
MICHAEL JAMES WILLIAMS

Nearby Offices

KGL FINANCIAL ADVISORS, LLC · BANNOCKBURN, IL
KESTRA ADVISORY SERVICES, LLC · Bannockburn, IL
CRYSTAL ROCK CAPITAL MANAGEMENT, LLC. · BANNOCKBURN, IL

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