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Robert Leonard Caron

Mai Capital Management, LLC

Cleveland, OH

Bedford, NH

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Current Employers
Mai Capital Management, Llc

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2017-01-03
  • NH RA
    APPROVED
    Since 2017-01-03

Branch Locations

6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States

Bedford, NH • 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
Tiaa Hanover NH 06/2016 09/2016
Tiaa-Cref Individual & Institutional Services, Llc Hanover NH 06/2016 09/2016
Mai Capital Management, Llc Cleveland OH 10/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-10-01
S63 Uniform Securities Agent State Law Examination 1992-10-20
  • S66 Uniform Combined State Law Examination
    2004-10-01
  • S63 Uniform Securities Agent State Law Examination
    1992-10-20

View on SEC IAPD

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