Maureen D. Mcshane

CAPITAL INVESTMENT MANAGEMENT

Sykesville, MD

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CRD#: 4898752

Professional summary

Maureen Denise Mcshane, who also goes by Maureen Denise Waller, is a registered financial advisor currently at CAPITAL INVESTMENT MANAGEMENT INC. located in Sykesville, Maryland.

Maureen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Maureen has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maureen Denise Waller

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.

Independent Insurance Agent NATURE/Duties: INSURANCE SALES INVESTMENT RELATED: YES NUMBER OF HOURS Per Month: 2, during trading hours START DATE: 07/01/2006 ADDRESS: 1459 Underwood Road, Sykesville, MD 21784

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Denise Mcshane'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 22, 2007 - Present

CAPITAL INVESTMENT MANAGEMENT INC.

RIA

CRD#: 122600

Sykesville, MD

Past

April 8, 2005 - September 29, 2017

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

Sykesville, MD

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

Maryland
(5/22/2007)

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 66

Date: 5/26/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/29/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/7/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/10/2005

General Securities Principal Examination

Current Firm

CAPITAL INVESTMENT MANAGEMENT INC.

CRD#: 122600 / SEC#: 801-68675

RIA

Registered Investment Advisory firm - (7/3/2012 Terminated)

Delaware

Registered Investment Advisory firm - (11/18/2019 Approved)

Maryland

Registered Investment Advisory firm - (5/17/2012 Approved)

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).

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Contact information

Main Address

Sykesville, MD

Mailing Address

Phone number

(410) 997-6755

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	273
AUM (Assets Under Management)	$ 52,798,998

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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Maureen D. Mcshane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Denise Mcshane's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL INVESTMENT MANAGEMENT INC.

GROVE POINT INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2005

SIE

Date: 9/29/2017

Series 7

Date: 4/7/2005

Series 24

Date: 12/10/2005

Current Firm

CAPITAL INVESTMENT MANAGEMENT INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT MANAGEMENT INC.

TRUST BUT VERIFY

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