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Mai Capital Management, LLC CRD 109807
$52.1B regulatory AUM 132 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-08-05 |
| AL | RA | APPROVED | 2024-08-02 |
| PA | RA | APPROVED | 2024-08-01 |
| TX | RA | APPROVED_RES | 2024-08-01 |
| CA | RA | APPROVED | 2024-07-31 |
| NJ | RA | APPROVED | 2024-07-31 |
| NY | RA | APPROVED | 2024-07-31 |
Branch Locations
Saratoga Springs, NY • United States
6050 Oak Tree Blvd Suite 500, Cleveland, OH 44131 • 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 |
|---|---|---|---|---|
| Distribution Partners | Dublin | OH | 09/2011 | 09/2018 |
| R F Lafferty & Co. Inc. | New York | NY | 09/2015 | 08/2018 |
| Lpl Financial | New York | NY | 09/2018 | 07/2024 |
| Global Retirement Partners, Llc | San Rafael | CA | 01/2019 | 07/2024 |
| Mai Capital Management, Llc | Cleveland | OH | 07/2024 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-01-24 |
| S63 | Uniform Securities Agent State Law Examination | 1989-01-24 |
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