Donna Mandel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donna Mandel, who also goes by Donna Marie Kobus, Donna Kobus, Donna K Mandel, Donna Kobus Mandel, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 1981. Donna had worked at 13 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2024 - December 18, 2025
CAPITAL ANALYSTS
June 22, 2022 - December 18, 2025
LINCOLN INVESTMENT
June 16, 2022 - December 18, 2025
LINCOLN INVESTMENT
February 3, 2022 - March 22, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 28, 2022 - March 22, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 13, 2018 - March 12, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 15, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
July 21, 2015 - March 6, 2020
FIDELITY BROKERAGE SERVICES LLC
December 20, 2012 - December 11, 2014
NORTHERN TRUST SECURITIES, INC.
June 1, 2009 - October 8, 2009
MORGAN STANLEY
June 1, 2009 - October 8, 2009
MORGAN STANLEY
May 7, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 7, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 22, 2008 - May 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2007 - May 12, 2008
WELLS FARGO CLEARING SERVICES, LLC
October 18, 1984 - March 30, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 9, 1982 - June 17, 1983
MOSELEY SECURITIES CORPORATION
November 25, 1981 - December 23, 1982
BLUNT ELLIS & LOEWI INCORPORATED
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
