Michelle N. Mai

SIGNATURE RESOURCES CAPITAL MANAGEMENT

SAN DIEGO, CA 92127

Some features on this profile are disabled

CRD#: 6218487

Professional summary

Michelle N. Mai is a registered financial advisor currently at SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC located in San Diego, California.

Michelle is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Michelle has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) OBA Name: Signature Resources Insurance and Financial Services, 19900 MacArthur Boulevard, Suite 900, Irvine, CA 92612, Investment Related: Yes, Position: Agent, Description of duties: Insurance sales and service, Start Date: Aug-19, Hours/Month during business hours: 30, Hours/Month outside of business hours: 8 2) OBA Name: College Planning Source, TK, Investment Related: No, Position: Owner, Description of duties: College planning, Start Date: June-13, Hours/Month during business hours: 20, Hours/Month outside of business hours: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michelle N. Mai's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 18, 2016 - Present

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

Office #1: 10875 Rancho Bernardo Road Suite 115, San Diego, CA 92127

RIA

CRD#: 144069

SAN DIEGO, CA

Past

July 16, 2013 - October 26, 2016

MATRIX PRIVATE WEALTH SOLUTIONS, CORP.

RIA

CRD#: 167536

SAN DIEGO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

EDGE WEALTH STRATEGIES LLC | STATERA ASSET MANAGEMENT | SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069 / SEC#: 801-67988

RIA

Registered Investment Advisory firm - (6/8/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/18/2016)

IAR

Texas
(12/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/25/2013

Uniform Investment Adviser Law Examination

Current Firm

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

EDGE WEALTH STRATEGIES LLC | STATERA ASSET MANAGEMENT | SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

CRD#: 144069 / SEC#: 801-67988

RIA

Registered Investment Advisory firm - (6/8/2007 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

120 Newport Center Dr Suite 100, Newport Beach, CA 92660

Mailing Address

Phone number

(949) 261-7726

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-25 SIGNATURE RESOURCES CAPITAL MANAGEMENT FORM ADV PART 2A (3/28/2025)

2025-03-25 SIGNATURE RESOURCES CAPITAL MANAGEMENT FORM ADV PART 2A (STATERA ASSET MANAGEMENT) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	807
AUM (Assets Under Management)	$ 227,563,327

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Nilay Barefield

CETERA INVESTMENT ADVISERS LLC

IAR

San Diego, CA

Alice Ruiz

SCHWAB WEALTH ADVISORY, INC.

IAR

San Diego, CA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michelle N. Mai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michelle N. Mai's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

MATRIX PRIVATE WEALTH SOLUTIONS, CORP.

Primary Firm SEC Registration

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/25/2013

Current Firm

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors