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Inactive

Michael James Williams

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
IL RA APPROVED 2021-12-20
  • IL RA
    APPROVED
    Since 2021-12-20

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
Hochman Cole Financial Services, Inc Deerfield IL 09/2015 12/2021
Cetera Financial Specialists Llc Schaumburg IL 09/2015 12/2021
Mai Capital Management Bannockburn IL 12/2021 Present
  • 09/2015 → 12/2021
    Hochman Cole Financial Services, Inc
    Deerfield, IL
  • 09/2015 → 12/2021
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 12/2021 → Present
    Mai Capital Management
    Bannockburn, IL
Previous Registrations
  • 2015-11-04 → 2021-12-09
    Hochman Cole Investment Advisors, Inc.
    Deerfield, IL
  • 2007-05-29 → 2015-09-23
    Citigroup Global Markets Inc.
    Chicago, IL
    Chicago, IL
  • 2004-07-23 → 2007-05-29
    Citicorp Investment Services
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-08-21
  • S66 Uniform Combined State Law Examination
    1998-08-21
Designations
Other Names
  • Michael J Williams

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
PHILIP JEFFREY COLE
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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