Mandi Kendall

CAPFINANCIAL SECURITIES, LLC.

Chesterton, IN 46304

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CRD#: 4646793

Professional summary

Mandi Kendall, who also goes by Mandi Gail Kendall, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Chesterton, Indiana.

Mandi is registered as a RR (Registered Representative) and started their career in finance in 2003. Mandi has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 24 exams.

Aliases

Mandi Gail Kendall

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 Mandi Kendall'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 16, 2025 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 3100 Village Point Ste 200, Chesterton, IN 46304

CRD#: 126291

Chesterton, IN

Past

August 15, 2022 - November 20, 2024

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Chicago, IL

Past

October 1, 2012 - August 2, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHESTERTON, IN

Past

July 16, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHESTERTON, IN

Past

April 2, 2003 - February 8, 2006

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

State Registrations and Notice Filings

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

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

Indiana
(1/16/2025)

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 7/21/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 12/30/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 7/15/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Status Unavailable

Passed: 6/6/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291 / SEC#: , 8-65870

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Mailing Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Phone number

(919) 870-6822

Established

North Carolina since 11/21/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
THE CAPFINANCIAL GROUP, LLC	MEMBER
EARLS, MARY CHRISTINE	SENIOR DIRECTOR/FINOP/PFO/POO	6178047
HOYLE, WILSON SMITH III	MANAGING DIRECTOR	2444392
LEDDY, ANN	CHIEF COMPLIANCE OFFICER	5024384
ROLAND, RAYMOND SCOTT	SENIOR MANAGER, FINANCE/FINOP	4267751
SHOFF, DERICK DON	MANAGING DIRECTOR	1140640
STROTHER, MICHAEL DAVID	SENIOR DIRECTOR, FINOP	2457427

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Mandi Kendall

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mandi Kendall's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 63

Passed: 7/21/2008

Series 7TO

Passed: 12/30/2022

SIE

Passed: 10/1/2018

Series 6

Passed: 7/15/2008

Series 24

Passed: 6/6/2023

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPFINANCIAL SECURITIES, LLC.

TRUST BUT VERIFY

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