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6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-17 |
| TX | RA | APPROVED | 2025-09-17 |
Branch Locations
1700 S El Camino Real Suite 385, San Mateo, CA 94402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Summit Financial Advisors, Llc | San Mateo | CA | 05/1998 | 09/2025 |
| Lpl Financial, Llc | San Mateo | CA | 09/2009 | 03/2023 |
| Mai Capital Management, Llc | Sam Mateo | CA | 09/2025 | Present |
Name of outside business: Youth Experience Sponsorship; Location of the business: 2 W Brooke Dr Novato CA 94947 US; Description of the business: non-profit; Position Title: VP / Board Member; Start date with business: 2024-04-01; Hours per month devoted to business during trading hours: 2; Hours per month devoted to business outside trading hours: 2; Percentage of total yearly compensation expected to be derived from the business: 0; Will an IRS form for income earned be received: No;
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-12 |
| S63 | Uniform Securities Agent State Law Examination | 1991-06-21 |
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