Steven M. Mitchell

PSI CAPITAL MANAGEMENT

LANCASTER, PA 17602

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CRD#: 2114236

Professional summary

Steven Mark Mitchell is a registered financial advisor currently at PSI CAPITAL MANAGEMENT located in Lancaster, Pennsylvania.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

REGISTERED INVESTMENT ADVISOR; FIXED INSURANCE SALES; EDUCATIONAL BOOK AUTHOR; BOARD MEMBER OF ST.JOSEPH HEALTH MINISTRIES; FORMING LLC TO CONDUCT MARKETING/SALES OF PATENT RIGHTS - LESS THAN 5% OF TIME; MFS GROUP, LLC - LLC FORMED TO PURCHASE NEW OFFICE BUILDING - 1% OF TIME; YMCA OF LANCASTER - MEMBER OF BOARD OF TRUSTEES -

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Mitchell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2002 - Present

PSI CAPITAL MANAGEMENT

Office #1: 147 N. Shippen Street, Lancaster, PA 17602

RIA

CRD#: 117105

LANCASTER, PA

Past

January 3, 2007 - August 1, 2011

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

LANCASTER, PA

Past

October 17, 2001 - January 4, 2007

INVESTACORP ADVISORY SERVICES INC

RIA

CRD#: 109011

MOUNT JOY, PA

Past

September 18, 2001 - December 31, 2006

INVESTACORP, INC.

CRD#: 7684

MOUNT JOY, PA

Past

October 1, 2000 - September 19, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 22, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

May 3, 1999 - February 16, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 14, 1991 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PSI CAPITAL MANAGEMENT

PLANNING STRATEGIES, INC. | PSI CAPITAL MANAGEMENT

CRD#: 117105 / SEC#: 801-112684

RIA

Registered Investment Advisory firm - (3/23/2018 Approved)

Florida

Registered Investment Advisory firm - (3/28/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/29/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/15/2010)

IAR

Pennsylvania
(1/2/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/24/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/3/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/18/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PSI CAPITAL MANAGEMENT

PLANNING STRATEGIES, INC. | PSI CAPITAL MANAGEMENT

CRD#: 117105 / SEC#: 801-112684

RIA

Registered Investment Advisory firm - (3/23/2018 Approved)

Florida

Registered Investment Advisory firm - (3/28/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/29/2018 Terminated)

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Contact information

Main Address

147 North Shippen Street, Lancaster, PA 17602

Mailing Address

Phone number

(717) 207-7123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PSI CAPITAL MANAGEMENT WRAP PROGRAM APPENDIX 1 WRAP FEE BROCHURE (3/27/2025)

PSI CAPITAL MANAGEMENT PART 2A DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,344
AUM (Assets Under Management)	$ 348,126,021

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.

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Steven M. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mark Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES SERVICE NETWORK, LLC

INVESTACORP ADVISORY SERVICES INC

INVESTACORP, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

PSI CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/1999

Series 63

Date: 1/3/1991

Series 7

Date: 9/3/1996

Series 6

Date: 12/18/1990

Current Firm

PSI CAPITAL MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PSI CAPITAL MANAGEMENT

TRUST BUT VERIFY

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