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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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KM

Katharine B. Marvel

ENCIRCLE FINANCIAL STRATEGIES
COLUMBUS, IN 47201
Some features on this profile are disabled
CRD#: 2368706
KM

Professional summary

Katharine Booth Marvel, who also goes by Katharine M Hutton, is a registered financial advisor currently at ENCIRCLE FINANCIAL STRATEGIES located in Columbus, Indiana.

Katharine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Katharine has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katharine M Hutton

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.
07/31/2012: OTHER - KATE IS COOKING - COOKING BLOG / 0%/ INDIANAPOLIS, IN. --

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katharine Booth Marvel'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

October 11, 2023 - Present

ENCIRCLE FINANCIAL STRATEGIES

Office #1: 675 Reeves Way Suite 2, Columbus, IN 47201Office #2: 2575 E. 55th Place, Indianapolis, IN 46220
RIA
CRD#: 327420
COLUMBUS, IN
Past

October 4, 2017 - May 16, 2024

WEALTH ADVISORY SOLUTIONS, LLC

RIA
CRD#: 288903
Indianapolis, IN
Past

August 1, 2013 - October 4, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
INDIANAPOLIS, IN
Past

August 1, 2013 - October 4, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
INDIANAPOLIS, IN
Past

July 31, 2012 - August 13, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
INDIANAPOLIS, IN
Past

February 2, 2009 - August 2, 2013

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 146236
INDIANAPOLIS, IN
Past

June 9, 2003 - December 31, 2009

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
INDIANAPOLIS, IN
Past

June 9, 2003 - July 31, 2012

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
INDIANAPOLIS, IN
Past

September 23, 2002 - December 31, 2005

MARVEL FINANCIAL PLANNING, INC.

RIA
CRD#: 122332
INDIANAPOLIS, IN
Past

December 3, 1998 - June 20, 2003

WALNUT STREET ADVISERS INC

RIA
CRD#: 109903
GREENCASTLE, IN
Past

July 31, 1998 - June 12, 2003

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

August 25, 1997 - August 10, 1998

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

May 15, 1995 - August 25, 1997

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

July 8, 1993 - March 9, 1995

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN

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".
EF
ENCIRCLE FINANCIAL STRATEGIES
ENCIRCLE FINANCIAL STRATEGIES | MARVEL FINANCIAL PLANNING, INC. | MARVEL FINANCIAL PLANNING

CRD#: 327420 / SEC#: 801-128603

RIA
Registered Investment Advisory firm - (10/30/2023 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.

Highlighted states indicate IAR registrations

IAR
Indiana
(10/11/2023)
IAR
Massachusetts
(2/15/2024)
IAR
Texas
(12/7/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/7/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/6/1999
General Securities Principal Examination

Current Firm

EF
ENCIRCLE FINANCIAL STRATEGIES
ENCIRCLE FINANCIAL STRATEGIES | MARVEL FINANCIAL PLANNING, INC. | MARVEL FINANCIAL PLANNING

CRD#: 327420 / SEC#: 801-128603

RIA
Registered Investment Advisory firm - (10/30/2023 Approved)
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Contact information

Main Address
Indianapolis, IN
Mailing Address
Phone number
(317) 570-1800
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (4 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts736
AUM (Assets Under Management)$ 124,430,367

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

ENCIRCLE FINANCIAL STRATEGIES

CRD#: 327420Columbus, IN 47201

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