Pacific Oak Capital Markets

3200 Park Center Drive, Suite 800

Costa Mesa, CA 92626

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Matt Mai

Chief Compliance Officer

As the Chief Compliance Officer for Pacific Oak Capital Markets and Pacific Oak Capital Advisors, Matt is responsible for leading the firm’s compliance program, day to day compliance activities and ensuring regulatory compliance.

Matt began his career in financial services in 2013 and has extensive knowledge and experience in broker-dealer and investment advisory compliance, supervision, and operations. He gained his experience through various roles with Pacific Life, National Plan Corporation, Transamerica Financial Advisors, and Allstate Financial Services.

Matt earned his bachelor’s degree in business economics from California State University, Long Beach and holds FINRA Series 7, 24, 52TO, 63, 66 and SIE. He has called Orange County home for almost his entire life and is an avid volunteer with the Boy Scouts of America where has served in several leadership roles within his local multi-unit troop and had earned his Eagle Scout Rank and completed Wood Badge Training.


  • BA Business Economics, California State University, Long Beach


  • Series 7 License
  • Series 24 License
  • Series 63 License
  • Series 66 License
  • Series 52TO License
  • Securities Industry Essentials® (SIE®) Exam