Frank Sanchez, financial advisor Newport Beach CA

Frank Sanchez

CRD Number: 2633413
Current Firm: Mai Capital Management, LLC

Frank Sanchez (CRD# 2633413) is an Investment Advisor Representative working at Mai Capital Management, LLC in Newport Beach, CA and has over 28 years of experience in the finance industry. Frank Sanchez has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Mai Capital Management, LLC Newport Beach, CA Sep 2020 - Current 3
Bancwest Investment Services, Inc. Newport Beach, CA Mar 2018 - Sep 2020 2
Bank Of The West Newport Beach, CA Mar 2018 - Sep 2020 2
Comerica Securities, Inc. Costa Mesa, CA Nov 2016 - Mar 2018 1
Unemployed None, CA Oct 2016 - Oct 2016 < 1
Fidelity Brokerage Services LLC Mission Viejo, CA Jun 2005 - Sep 2016 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1995
S65 NASAA Investment Advisors Law Examination Jan 1996
Contact Info for Frank Sanchez
By the Numbers
  • Total Assets Under Management
    15,773
    MILLIONS
  • Total Number of Accounts
    23,704
    ACCOUNTS
  • Average Account Value
    $665,433
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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