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Mark Jonathan Happe

MAI CAPITAL MANAGEMENT, LLC·CLEVELAND, Ohio
SIE, Series 7, Series 8, Series 14, Series 24, Series 51, Series 63, Series 65Clean recordMAI CAPITAL MANAGEMENT, LLC
6050 OAK TREE BLVD, CLEVELAND, OH 44131CRD# 2791955Firm CRD# 109807

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Mark Jonathan Happe · CLEVELAND, OH
Registration
CRD #2791955 · MAI CAPITAL MANAGEMENT, LLC
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 8
Series 14
Series 24
Series 51
Series 63
Series 65
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
MAI CAPITAL MANAGEMENT, LLC
CRD 109807 · SEC 801-58104
AUM
$19.7B
Regulatory assets under management
Employees
331
26,826 client accounts
Services offered by MAI CAPITAL MANAGEMENT, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Portfolio management (pooled investments)
Pension consulting
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
Pension & Retirement Plans
High Net Worth Individuals
View all advisors at MAI CAPITAL MANAGEMENT, LLC →
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04

Frequently Asked Questions

What services does Mark Jonathan Happe offer?
Mark Jonathan Happe specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in CLEVELAND, Ohio for a consultation.
What are Mark Jonathan Happe's credentials?
Mark Jonathan Happe is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Mark Jonathan Happe located?
Mark Jonathan Happe is based in CLEVELAND, Ohio, working with MAI CAPITAL MANAGEMENT, LLC. Their office serves clients in the CLEVELAND metropolitan area and surrounding communities.
How does Mark Jonathan Happe charge for services?
Mark Jonathan Happe's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees, other: percentage of non-investment income. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is MAI CAPITAL MANAGEMENT, LLC?
MAI CAPITAL MANAGEMENT, LLC has approximately 331 employees and manages $19.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at MAI CAPITAL MANAGEMENT, LLC

Mark Hunter Summers
CLEVELAND, OH
Holly Marie Cavalier
CLEVELAND, OH
Roberta June Lemmo
CLEVELAND, OH
Gerald Howard Gray
CLEVELAND, OH
John George Palguta
CLEVELAND, OH
Anthony Edgar Amador
CLEVELAND, OH

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Research
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