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6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-01-15 |
Branch Locations
820 Highway A1A N Suite E4, Ponte Vedra Beach, FL 32082 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Jacksonville | FL | 06/2003 | 09/2022 |
| Principal Securities Inc | Jacksonville | FL | 06/2003 | 09/2022 |
| West Point Business Group | Jacksonville | FL | 09/2007 | 09/2022 |
| Mai Capital Management Llc | Ponte Vedra Beach | FL | 10/2022 | Present |
***Payasada Homeowners Association; Not Investment Related; Ponte Verde Beach, FL; Treasurer; Presenting the financial report at their meetings and reviewing statements from their accountant. No authority to write checks on behalf of the HOA or make any decisions regarding the assets of the HOA.; Start Date: 01/01/2019; 4 hrs per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-20 |
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