Frank Sanchez

Employer firm

Mai Capital Management, LLC CRD 109807

$52.1B regulatory AUM 132 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2005 → 09/2016
  Fidelity Brokerage Services Llc
  Mission Viejo, CA
• 11/2016 → 03/2018
  Comerica Securities, Inc.
  Costa Mesa, CA
• 03/2018 → 09/2020
  Bancwest Investment Services, Inc
  Newport Beach, CA
• 03/2018 → 09/2020
  Bank Of The West
  Newport Beach, CA
• 09/2020 → Present
  Mai Capital Management, Llc
  Newport Beach, CA
• 10/2016 → 10/2016
  Unemployed
  None, CA

Previous Registrations

• 2018-03-21 → 2020-09-18
  Bancwest Investment Services, Inc.
  Newport Beach, CA
• 2016-11-15 → 2018-03-16
  Comerica Securities
  Costa Mesa, CA
• 2005-08-05 → 2016-09-26
  Strategic Advisers Llc
  Mission Viejo, CA
• 2003-09-25 → 2005-06-08
  Banc Of America Investment Services, Inc.
  Newport Beach, CA
• 1997-07-08 → 2003-09-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-24
• S63 Uniform Securities Agent State Law Examination
  1995-09-27

Designations

• Certified Financial Planner
• Chartered Financial Consultant