Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1985199019952000200520102015202020252 FIRMS1988 - 1995 (7 years)2 FIRMS1996 - 1998 (1 year)IAMAI CAPITAL MANAGEMENT, LLC (CRD# 109807)2024 - Present (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2018 - 2024 (5 years)BR. F. LAFFERTY & CO., INC. (CRD# 2498)2015 - 2018 (2 years)BFULCRUM SECURITIES, LLC (CRD# 140084)2013 - 2016 (2 years)BINVESTORS CAPITAL CORP. (CRD# 30613)2010 - 2011 (1 year)BLINCOLN FINANCIAL DISTRIBUTORS... (CRD# 145)2008 - 2009 (1 year)BSOURCE CAPITAL GROUP, INC. (CRD# 36719)2005 - 2008 (2 years)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2002 - 2005 (3 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2001 - 2002 (1 year)BMANEQUITY, INC. (CRD# 5249)2000 - 2000 (<1 year)BMUTUAL OF AMERICA LIFE INSURAN... (CRD# 15356)1985 - 1986 (<1 year)IAGLOBAL RETIREMENT PARTNERS LLC (CRD# 172011)2020 - 2024 (4 years)
Disclosure(s)
View By:
12/2/2021
Judgment / Lien
License(s)

State Registrations

IA
Alabama 8/2/2024
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New York 7/31/2024
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California 7/31/2024
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Pennsylvania 8/1/2024
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Connecticut 8/5/2024
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Texas 8/1/2024
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New Jersey 7/31/2024
Current Registration(s)
IA
MAI CAPITAL MANAGEMENT, LLC (CRD#:109807)
Harrison, NY
Registered with this firm since 7/31/2024
Previous Registration(s)
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 09/24/2018 - 08/12/2024 LPL FINANCIAL LLC (CRD#:6413) NEW YORK, NY
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 01/24/2020 - 07/31/2024 GLOBAL RETIREMENT PARTNERS LLC (CRD#:172011) New York, NY
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 10/15/2015 - 09/11/2018 R. F. LAFFERTY & CO., INC. (CRD#:2498) NEW YORK, NY
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 08/07/2013 - 03/24/2016 FULCRUM SECURITIES, LLC (CRD#:140084)
FINRA expelled the firm on 03/13/2018
SAINT LOUIS, MO
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 01/13/2010 - 09/28/2011 INVESTORS CAPITAL CORP. (CRD#:30613) NEW YORK, NY
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 01/18/2008 - 05/11/2009 LINCOLN FINANCIAL DISTRIBUTORS, INC. (CRD#:145) RADNOR, PA
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 08/12/2005 - 01/02/2008 SOURCE CAPITAL GROUP, INC. (CRD#:36719) WESTPORT, CT
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 05/29/2002 - 08/05/2005 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
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 01/04/2001 - 02/08/2002 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) DES MOINES, IA
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 01/10/2000 - 12/21/2000 MANEQUITY, INC. (CRD#:5249) BOSTON, MA
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 11/19/1996 - 06/19/1998 MUTUAL OF AMERICA SECURITIES CORPORATION (CRD#:27878) NEW YORK, NY
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 01/01/1996 - 06/19/1998 MUTUAL OF AMERICA LIFE INSURANCE COMPANY (CRD#:15356) NEW YORK, NY
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 05/26/1988 - 12/14/1995 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
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 05/26/1988 - 12/14/1995 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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 11/22/1985 - 08/15/1986 MUTUAL OF AMERICA LIFE INSURANCE COMPANY (CRD#:15356)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.