Peter B. Mauthe

GLOBAL INVESTMENT SOLUTIONS

LEONARDTOWN, MD

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CRD#: 865473

Professional summary

Peter Baxter Mauthe is a registered financial advisor currently at GLOBAL INVESTMENT SOLUTIONS, LLC located in Leonardtown, Maryland.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Peter has worked at 6 firms and has passed the Series 65, Series 7, Series 3, Series 2 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Baxter Mauthe'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

April 25, 2023 - Present

GLOBAL INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 133850

LEONARDTOWN, MD

Past

May 22, 2013 - January 24, 2023

FLEXIBLE PLAN INVESTMENTS LTD

RIA

CRD#: 110762

BLOOMFIELD HILLS, MI

Past

January 25, 2012 - February 13, 2013

MAULDIN SECURITIES, LLC

CRD#: 128378

DALLAS, TX

Past

December 20, 2011 - February 13, 2013

MAULDIN SOLUTIONS, LLC

RIA

CRD#: 114323

DALLAS, TX

Past

August 17, 2005 - December 7, 2011

RHOADS LUCCA CAPITAL PARTNERS, L.P.

RIA

CRD#: 136531

DALLAS, TX

Past

March 24, 2005 - December 2, 2011

RHOADS LUCCA CAPITAL MANAGEMENT, INC.

RIA

CRD#: 105214

FRISCO, TX

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
(4/25/2023)

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: 9/21/1995

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 1/24/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/11/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 2

Date: 9/21/1995

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/1995

General Securities Principal Examination

Current Firm

GLOBAL INVESTMENT SOLUTIONS, LLC

CRD#: 133850 / SEC#:

California

Registered Investment Advisory firm - (7/1/1997 Approved)

Colorado

Registered Investment Advisory firm - (3/4/2022 Terminated)

Indiana

Registered Investment Advisory firm - (11/15/2021 Terminated)

Maryland

Registered Investment Advisory firm - (4/21/2023 Approved)

Texas

Registered Investment Advisory firm - (8/22/2008 Approved)

Washington

Registered Investment Advisory firm - (10/22/2025 Termination Requested)

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

Aliso Viejo, CA

Mailing Address

Phone number

(949) 660-7960

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 28,065,860

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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Peter B. Mauthe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Baxter Mauthe's CRS (Customer Relationship Summary).

Certified licenses

Experience

FLEXIBLE PLAN INVESTMENTS LTD

MAULDIN SECURITIES, LLC

MAULDIN SOLUTIONS, LLC

RHOADS LUCCA CAPITAL PARTNERS, L.P.

RHOADS LUCCA CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1995

Series 7

Date: 1/24/2012

Series 3

Date: 12/11/1997

Series 2

Date: 9/21/1995

Series 24

Date: 5/15/1995

Current Firm

GLOBAL INVESTMENT SOLUTIONS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GLOBAL INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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