MP
Mandie J. Peters
CAPITAL ANALYSTS
Severn, MD 21144
Some features on this profile are disabled
CRD#: 5161049
MP
Professional summary
Mandie Josephine Peters, who also goes by Mandie Josephine La Fermine, Mandie Josephine Lafermine, Mandie Josephine Lefermine, is a registered financial advisor currently at CAPITAL ANALYSTS located in Severn, Maryland and LINCOLN INVESTMENT located in Severn, Maryland.
Mandie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mandie has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mandie Josephine La Fermine | Mandie Josephine Lafermine | Mandie Josephine Lefermine
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.
AMERICAN SENIOR BENEFITS POSITION: Agent NATURE: Insurance (Life, Fixed Annuity, Medicare, LTC) INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 01/01/2015 ADDRESS: 1522 Coldwater Reserve Crossing, Severn MD 21144, United States DESCRIPTION: Selling insurance products. NOTARY POSITION: Notary NATURE: Notary INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2017 ADDRESS: 1522 Coldwater Reserve Crossing, Severn MD 21144, United States DESCRIPTION: Notarize RENTAL PROPERTY POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: 7591 Cherrybrark Oak Lane, Elkridge MD 21075, United States DESCRIPTION: Property Manager LISA D. INGRAM, CPA, P.A POSITION: Admin, Referrer NATURE: Accounting Bookkeeping INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 11/11/2024 ADDRESS: 7919 Darby Ln, Severn MD 21144, United States DESCRIPTION: Help with bookkeeping, filing, sending invoices and payroll to clients, tax prep information gathering from her clients, are all things I could be doing when being paid hourly. The referral system would just be as either of our clients need one of our services and there would be no compensation to each other. There would be no compensation for these referrals for either of us. The main purpose of this job is to meet new prospects and provide Lisa and I with a trustworthy financial advisor and CPA that we can refer clients to.
CRS (Client Relationship Summary) - RIA
Click below to view Mandie Josephine Peters'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®
NoneExperience
Current
February 15, 2019 - Present
CAPITAL ANALYSTS
Office #1: 1522 Coldwater Reserve Crossing, Severn, MD 21144RIA
CRD#: 162200
Severn, MD
Current
February 15, 2019 - Present
LINCOLN INVESTMENT
RIA
BD
CRD#: 519
Severn, MD
Past
July 15, 2015 - February 15, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
SEVERN, MD
Past
July 9, 2015 - February 15, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SEVERN, MD
Past
June 5, 2010 - July 21, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
CALVERTON, MD
Past
May 28, 2010 - July 21, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
CALVERTON, MD
Past
September 22, 2008 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
ROCKVILLE, MD
Past
September 22, 2008 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
ROCKVILLE, MD
Past
July 25, 2007 - September 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
WASHINGTON, DC
Past
October 9, 2006 - September 19, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WASHINGTON, DC
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".
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
Registered Investment Advisory firm - (4/17/2012 Approved)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.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
Arizona(10/25/2022)
RR
Delaware(2/15/2019)
RR
District of Columbia(2/15/2019)
RR
Florida(2/15/2019)
RR
Maryland(2/15/2019)
IAR
Maryland(2/15/2019)
RR
Massachusetts(3/4/2020)
RR
New Hampshire(6/29/2021)
RR
New York(6/27/2025)
RR
Pennsylvania(2/15/2019)
RR
Tennessee(1/17/2024)
RR
Virginia(2/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CAPITAL ANALYSTS
CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
RIA
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
Phone number
(800) 242-1421
Established
Firm type
Fiscal year end
# of Employees
739
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.
