Niva WealthLet’s talk

Mark Happe

Chief Compliance Officer at Mai Capital Management

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Mark Happe is Chief Compliance Officer of Mai Capital Management, LLC, a Cleveland investment adviser managing $52.1B. Mark Happe has passed 8 licensing exams.

Role at Mai Capital Management

Title on Schedule A
Chief Compliance Officer
Control
Mark Happe is a control person of Mai Capital Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Mark Happe has held the filed role since August 2023.

The firm

Mai Capital Management, LLC
Cleveland, OH

Form ADV filed 1 October 2026

$52.1B AUM16,261 clients230 advisers44 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 51 · 2013
  3. Passed Series 65 · 2000
  4. Passed Series 24 and Series 14 · 1999
  5. Passed Series 7, Series 8 and Series 63 · 1998

Registrations and exams

No current adviser or broker registration. Mark Happe has passed 8 qualifying exams.

Examinations

Series 6521 September 2000
Name
Uniform Investment Adviser Law Examination
Series 6330 October 1998
Name
Uniform Securities Agent State Law Examination
Series 5112 July 2013
Name
Municipal Fund Securities Principal Examination
Series 1425 June 1999
Name
Compliance Officer Examination
Series 243 June 1999
Name
General Securities Principal Examination
Series 823 October 1998
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 728 September 1998
Name
General Securities Representative Examination

Individual record

Full name
Mark Jonathan Happe
CRD
2791955
Firm
Mai Capital Management, LLC
Registration status
No current adviser or broker registration
Firm bio
mai.capital

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

MAI says Mark Happe previously held executive and leadership roles, including Chief Compliance Officer and General Counsel positions, and began his career at the SEC. Official MAI Capital Management biography

Education

Common questions

Where does Mark Happe work?

Mark Happe has been Chief Compliance Officer of Mai Capital Management, LLC since August 2023, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 1 October 2026

Does Mark Happe have a current investment-adviser registration?

Mark Happe has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Mark Happe passed?

Mark Happe has passed 8 licensing exams: the Series 7, Series 8, Series 63, Series 24, Series 14, Series 65, Series 51 and SIE. The earliest, the Series 7, was passed in September 1998.

Source: IAPD individual record, checked 17 October 2026

Leadership at Mai Capital Management

Sources

  1. IAPD individual record, CRD 2791955. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Mai Capital Management, LLC, filed 1 October 2026. Title, control and ownership bands.
  3. Mai Capital Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Mark Happe or Mai Capital Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.