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Inactive

James Gregory Sweet

Mai Capital Management, LLC

Ellicott City, MD

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Current Employers
Mai Capital Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2025-12-16
PA RA APPROVED 2025-12-16
VA RA APPROVED 2025-12-16
  • MD RA
    APPROVED
    Since 2025-12-16
  • PA RA
    APPROVED
    Since 2025-12-16
  • VA RA
    APPROVED
    Since 2025-12-16

Branch Locations

3300 North Ridge Road, Ste 345, Ellicott City, MD 21043 • 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
T Rowe Price Owings Mills MD 05/2013 05/2017
Td Ameritrade, Inc. Washington DC 06/2017 10/2019
Court Place Advisors, Llc Ellicott City MD 10/2019 11/2025
Mai Capital Management Llc Ellicot City MD 11/2025 Present
  • 05/2013 → 05/2017
    T Rowe Price
    Owings Mills, MD
  • 06/2017 → 10/2019
    Td Ameritrade, Inc.
    Washington, DC
  • 10/2019 → 11/2025
    Court Place Advisors, Llc
    Ellicott City, MD
  • 11/2025 → Present
    Mai Capital Management Llc
    Ellicot City, MD
Previous Registrations
  • 2019-10-25 → 2025-12-01
    Court Place Advisors Llc
    Ellicott City, MD
  • 2017-06-26 → 2019-10-16
    Td Ameritrade, Inc.
    Washington, DC
  • 2017-06-26 → 2019-10-16
    Td Ameritrade Investment Management, Llc
    Washington, DC
  • 2015-03-04 → 2017-05-25
    T. Rowe Price Advisory Services, Inc.
    Mclean, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-02
  • S66 Uniform Combined State Law Examination
    2015-03-02
Designations
Other Names
  • James Gregory Sweet

View on SEC IAPD

Other Firms

FOUNDERS FINANCIAL SECURITIES LLC
LEE FINANCIAL ASSOCIATES, INC.
OSAIC WEALTH, INC.
BLUEPRINT WEALTH MANAGEMENT INC.
KESTRA ADVISORY SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

MARK ANDREW TIMMICK
JAMES JEFFREY LEE
BRIAN WILLIAM SMOOT
JORDAN SCHMUCHER WILSON
DAVID SCOTT ASHER
RAVINDRA NATH DIXIT
WILLIAM SPRUILL
Jade NICOLE Chang

Other Offices

FOUNDERS FINANCIAL SECURITIES LLC · ELLICOTT CITY, MD
LEE FINANCIAL ASSOCIATES, INC. · ELLICOTT CITY, MD
OSAIC WEALTH, INC. · ELLICOTT CITY, MD
BLUEPRINT WEALTH MANAGEMENT INC. · ELLICOTT CITY, MD
KESTRA ADVISORY SERVICES, LLC · ELLICOTT CITY, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Ellicott City, MD
TRANSAMERICA FINANCIAL ADVISORS, LLC · ELLICOTT CITY, MD
STATE FARM INVESTMENT MANAGEMENT CORP. · Ellicott City, MD

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