Matthew Mai
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Mai, who also goes by Matt Mai, Matt Mai, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2015. Matthew had worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2021 - July 14, 2025
PACIFIC OAK CAPITAL MARKETS, LLC
April 19, 2021 - August 3, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
April 16, 2021 - August 3, 2021
ALLSTATE FINANCIAL SERVICES, LLC
January 18, 2017 - March 30, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 16, 2016 - March 30, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 5, 2015 - September 6, 2016
NATIONAL PLANNING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 9/28/2020
Municipal Securities Representative ExaminationCurrent Firm
PACIFIC OAK CAPITAL MARKETS, LLC
CRD#: 309350 / SEC#: , 8-70537
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
