Joseph Francisco Pantoja

Current Employers

Mai Capital Management, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-07-25
NJ	RA	APPROVED	2024-07-18
SC	RA	APPROVED	2024-07-03
MT	RA	APPROVED	2024-07-02
MI	RA	APPROVED	2024-07-01
MS	RA	APPROVED	2024-07-01
MD	RA	APPROVED	2024-06-28
VA	RA	APPROVED	2024-06-28
NC	RA	APPROVED	2024-06-27
OH	RA	APPROVED	2024-06-27
WV	RA	APPROVED	2024-06-27

FL RA
APPROVED

Since 2024-07-25
NJ RA
APPROVED

Since 2024-07-18
SC RA
APPROVED

Since 2024-07-03
MT RA
APPROVED

Since 2024-07-02
MI RA
APPROVED

Since 2024-07-01
MS RA
APPROVED

Since 2024-07-01
MD RA
APPROVED

Since 2024-06-28
VA RA
APPROVED

Since 2024-06-28
NC RA
APPROVED

Since 2024-06-27
OH RA
APPROVED

Since 2024-06-27
WV RA
APPROVED

Since 2024-06-27

Branch Locations

Durham, NC • United States

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

Organization	City	State	From	To
Massachusetts Mutual Life Insurance Co	Pittsburgh	PA	08/2006	Present
Mml Investors Services	New Castle	PA	08/2006	12/2016
Treloar & Heisel, Llc	New Castle	PA	07/2006	Present
Wcg Wealth Advisors, Llc	New Castle	CA	12/2016	06/2024
Mai Capital Management, Llc	Cleveland	OH	06/2024	Present

08/2006 → Present

Massachusetts Mutual Life Insurance Co

Pittsburgh, PA
08/2006 → 12/2016

Mml Investors Services

New Castle, PA
07/2006 → Present

Treloar & Heisel, Llc

New Castle, PA
12/2016 → 06/2024

Wcg Wealth Advisors, Llc

New Castle, CA
06/2024 → Present

Mai Capital Management, Llc

Cleveland, OH

Previous Registrations

2016-12-20 → 2024-04-16

The Wealth Consulting Group

New Castle, PA

Las Vegas, NV

Durham, NC

Durham, NC
2007-04-16 → 2016-12-19

Mml Investors Services, Llc

Pittsburgh, PA

New Castle, PA

Other Businesses

1) Treloar & Heisel, LLC: Fixed insurance sales/sale of non-variable insurance; Accident and Health Insurance Products and Property & Casualty for various carriers.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-03-12
S63	Uniform Securities Agent State Law Examination	2006-10-30

S65 Uniform Investment Adviser Law Examination

2007-03-12
S63 Uniform Securities Agent State Law Examination

2006-10-30

Other Names

Joseph F Pantoja

View on SEC IAPD