Andy Mai

MARINER

Boston, MA 02210

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CRD#: 6364182

Professional summary

Andy Mai, CFA is a registered financial advisor currently at MARINER located in Boston, Massachusetts.

Andy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Andy has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

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.

Name: Baystate Wealth Management Inv rel: Y Add: 200 Clarendon 25th Floor Boston MA 02116 Nature: Other - Staff role with an Independent RIA (Baystate Wealth Management) Position: Analyst Start date: 09/04/2019 No. HR/MO: 189 No. HR/MO during sec trading: 189 Describe duties: Sole role is as staff person for independent RIA (Baystate Wealth Management); does not conduct any MMILS business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andy 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®

CFA

Chartered Financial Analyst

Experience

Current

April 22, 2020 - Present

MARINER

Office #1: One Marina Park Drive 16th Floor, Boston, MA 02210

RIA

CRD#: 151664

Boston, MA

Past

March 25, 2017 - November 1, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BOSTON, MA

Past

March 25, 2017 - November 1, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

BOSTON, MA

Past

December 14, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BOSTON, MA

Past

September 14, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BOSTON, MA

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".

MARINER

BAYSTATE WEALTH MANAGEMENT | MARINER | BAYSTATE WEALTH MANAGEMENT LLC

CRD#: 151664 / SEC#: 801-71691

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2010 Terminated)

Rhode Island

Registered Investment Advisory firm - (7/29/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Massachusetts
(4/22/2020)

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 66

Date: 11/19/2015

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/8/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2015

General Securities Representative Examination

Current Firm

MARINER

BAYSTATE WEALTH MANAGEMENT | MARINER | BAYSTATE WEALTH MANAGEMENT LLC

CRD#: 151664 / SEC#: 801-71691

RIA

Registered Investment Advisory firm - (7/28/2010 Approved)

Massachusetts

Registered Investment Advisory firm - (7/29/2010 Terminated)

Rhode Island

Registered Investment Advisory firm - (7/29/2010 Terminated)

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Contact information

Main Address

5700 West 112th Street Suite 500, Overland Park,, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX I WRAP FEE PROGRAM (3/28/2025)

BAYSTATE WEALTH MANAGMENT, LLC. ADV PART2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	5,559
AUM (Assets Under Management)	$ 2,352,770,746

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.

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Advisor Monitoring

Firm Stability Insights

Andy Mai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MARINER

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2015

Series 7TO

Date: 12/8/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2015

Current Firm

MARINER

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARINER

TRUST BUT VERIFY

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