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6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-12-22 |
| IL | RA | APPROVED | 2021-12-23 |
Branch Locations
2201 Waukegan Road Suite 175, Bannockburn, IL 60015 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Advisers Llc | Northbrook | IL | 02/2004 | 12/2021 |
| Hochman Cole Investment Advisors, Inc. | Deerfield | IL | 09/2006 | 12/2021 |
| Cetera Financial Specialists Llc | Schaumburg | IL | 02/2004 | 12/2021 |
| Independent Consulting | Deerfield | IL | 01/2012 | 12/2021 |
| Mai Capital Management | Bannockburn | IL | 12/2021 | Present |
1) RECEIVES REFERRAL COMMISSIONS ON HEALTH INSURANCE FOR PRIOR HEALTH BUSINESS, WRITTEN LIFE, DISABILITY AND LONG CARE INSURANCE. 2) INDEPENDENT CONSULTING; INV. RELATED; DEERFIELD, IL; CONSULTING ENGAGEMENTS THROUGH THE GERSON LEHRMAN GROUP; CONSULTANT; SINCE 01/2012; 1 HR/MONTH DURING SECURITIES TRADING HOURS 3) TRUSTEE ON ACCOUNTS FOR FAMILY, INVESTMENT RELATED, 1605 PROVENANCE WAY, NORTHBROOK, IL, 60062, TRUSTEE, START 05/16/2014, TRUSTEE FOR FAMILY TRUST.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-07 |
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