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AC

Anne M. Cappel

LINCOLN FINANCIAL DISTRIBUTORS
Fort Wayne, IN 46802
Some features on this profile are disabled
CRD#: 3019811
AC

Professional summary

Anne Marie Cappel, who also goes by Anne Marie Phillips, is a registered financial professional currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Fort Wayne, Indiana.

Anne is registered as a RR (Registered Representative) and started their career in finance in 1998. Anne has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 6, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Marie Phillips

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anne Marie Cappel's 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

May 1, 2024 - Present

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Office #1: 1301 S Harrison Street, Fort Wayne, IN 46802
BD
CRD#: 145
Fort Wayne, IN
Past

November 5, 2018 - May 1, 2024

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

November 22, 2012 - November 6, 2018

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

May 25, 2000 - October 30, 2003

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

November 5, 1999 - May 12, 2000

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN
Past

March 23, 1999 - October 4, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 22, 1998 - November 24, 1998

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

June 9, 1998 - November 24, 1998

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(5/1/2024)
RR
California
(5/1/2024)
RR
Hawaii
(5/1/2024)
RR
Indiana
(5/1/2024)
RR
Oregon
(5/1/2024)
RR
Washington
(5/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/18/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/21/2012
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/29/2014
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LINCOLN FINANCIAL DISTRIBUTORS, INC.
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CG EQUITY SALES COMPANY | SAGEMARK CONSULTING, INC. | LINCOLN FINANCIAL DISTRIBUTORS, INC. | CIGNA SECURITIES, INC. | CIGNA FINANCIAL ADVISORS,INC.

CRD#: 145 / SEC#: , 8-13431

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
130 N Radnor-chester Rd, Radnor, PA 19087
Mailing Address
130 N Radnor-chester Rd, Radnor, PA 19087
Phone number
(484) 583-6000
Established
Connecticut since 08/03/1967
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE LINCOLN NATIONAL LIFE INSURANCE COMPANYSHAREHOLDER
CHRYSSIKOS, PAUL TELEMACSENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER7263748
FALLER, DANIEL TSENIOR VICE PRESIDENT, HEAD OF LFD FINANCE6006570
GIBSON, JASON MICHAELVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION3081880
KENNEDY, JOHN CHRISTOPHERPRESIDENT AND CHIEF EXECUTIVE OFFICER2213083
NEPA, JARED M.SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION5157819
OMORUYI, MEGAN VOGTAVP, FINANCIAL AND OPERATIONS PRINCIPAL7803022
SEIFERT, TIMOTHY JOHNSENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION1577571
SMITH, NANCYSECRETARY6140078

Disclosures

Regulatory Event3

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.

Company Information

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145Fort Wayne, IN 46802

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