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Inactive

Philip Jeffrey Cole

Mai Capital Management, LLC

Bannockburn, IL

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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
Other Names
  • Phil Cole
  • Philip J. Cole

View on SEC IAPD

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EMC CAPITAL ADVISORS, LLC
SOUND ADVICE FINANCIAL INC.
VANDERKLOOT & COMPANY, P.C.
CENTRIC WEALTH MANAGEMENT, LLC
GAMCO ASSET MANAGEMENT INC.

Other Investors

EDWARD GERARD LESZYNSKI
DOUGLAS OWEN ACKERMAN
MICHAEL JAMES WILLIAMS
JOEL LEONARD HOCHMAN
GLENN ALAN MOVISH
MATHEW ADRIAN VANDERKLOOT
GARETT JOSEPH NESBITT
ANNE E. MORRISSY

Other Offices

KGL FINANCIAL ADVISORS, LLC · BANNOCKBURN, IL
KESTRA ADVISORY SERVICES, LLC · Bannockburn, IL
CRYSTAL ROCK CAPITAL MANAGEMENT, LLC. · BANNOCKBURN, IL
EMC CAPITAL ADVISORS, LLC · BANNOCKBURN, IL
SOUND ADVICE FINANCIAL INC. · BANNOCKBURN, IL
VANDERKLOOT & COMPANY, P.C. · BANNOCKBURN, IL
CENTRIC WEALTH MANAGEMENT, LLC · Bannockburn, IL
GAMCO ASSET MANAGEMENT INC. · BANNOCKBURN, IL

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