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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 |
|---|---|---|---|
| NV | RA | APPROVED | 2024-07-08 |
| IL | RA | APPROVED | 2024-07-02 |
| IN | RA | APPROVED | 2024-07-02 |
| KY | RA | APPROVED | 2024-07-02 |
| MI | RA | APPROVED | 2024-07-02 |
| OK | RA | APPROVED | 2024-07-02 |
| PA | RA | APPROVED | 2024-07-02 |
| TX | RA | APPROVED | 2024-07-02 |
Branch Locations
6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
134 E. Washington Street, New Castle, PA 16101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massachusetts Mutual Life Insurance Co | New Castle | PA | 06/2010 | Present |
| Mml Investors Services | New Castle | PA | 03/2011 | 12/2016 |
| Wcg Wealth Advisors, Llc | New Castle | CA | 12/2016 | 07/2024 |
| Treloar & Heisel, Llc | New Castle | PA | 06/2010 | Present |
| Mai Capital Management, Llc | Cleveland | OH | 06/2024 | Present |
1) Treloar & Heisel, LLC: Fixed insurance sales/sale of non-variable insurance; Accident and Health Insurance Products and Property & Casualty for various carriers.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 2011-09-30 |
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