Joel Leonard Hochman

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

• 02/2004 → 12/2021
  Cetera Investment Advisers Llc
  Northbrook, IL
• 09/2006 → 12/2021
  Hochman Cole Investment Advisors, Inc.
  Deerfield, IL
• 02/2004 → 12/2021
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2012 → 12/2021
  Independent Consulting
  Deerfield, IL
• 12/2021 → Present
  Mai Capital Management
  Bannockburn, IL

Previous Registrations

• 2006-10-17 → 2021-12-09
  Hochman Cole Investment Advisors, Inc.
  Northbrook, IL
• 2004-02-24 → 2021-12-06
  Cetera Investment Advisers Llc
  Northbrook, IL
  Deerfield, IL
  Schaumburg, IL
• 1998-02-09 → 2008-04-01
  Genworth Financial Planning Corporation
  Northbrook, IL

Other Businesses

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.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-01-27
• S63 Uniform Securities Agent State Law Examination
  1984-05-07

Designations

• Certified Financial Planner