Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew Mai is a financial advisor registered with Pacific Oak Capital Markets, LLC based in Costa Mesa, CA. Matthew has been in the financial services industry since 2015 and holds a Series 66, Series 63, Series 24, Series 52TO, SIE, and Series 7 license. Matthew is currently registered in California, Indiana, Massachusetts, New Jersey, and New Mexico. Prior to joining Pacific Oak Capital Markets, LLC, Matthew worked at ALLSTATE FINANCIAL SERVICES, LLC, TRANSAMERICA FINANCIAL ADVISORS, INC, and NATIONAL PLANNING CORPORATION.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CA
08/09/2021 - Present
Pacific OAK Capital Markets, LLC (COSTA MESA CA)
NE
04/16/2021 - 08/03/2021
ALLSTATE FINANCIAL SERVICES, LLC (Lincoln NE)
CA
09/16/2016 - 03/30/2021
TRANSAMERICA FINANCIAL ADVISORS, INC (GARDEN GROVE CA)
CA
05/05/2015 - 09/06/2016
NATIONAL PLANNING CORPORATION (El Segundo CA)
BOTH
Issued 01/09/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/10/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/23/2015
Series 24 - General Securities Principal Examination
BC
Issued 09/28/2020
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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