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Konstantinos G. Georgostathis

VANTAGE FINANCIAL PARTNERS
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 2409628
KG

Professional summary

Konstantinos Georje Georgostathis, CFP®, who also goes by Gus Georgostathis, Konstantinos G Georgostathis, Kostantinos Georje Georgostathis, Konstantinos Georgostathis, is a registered financial advisor currently at VANTAGE FINANCIAL PARTNERS, LLC located in Cincinnati, Ohio and NORTHROCK PARTNERS, LLC located in Blue Ash, Ohio.

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

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gus Georgostathis | Konstantinos G Georgostathis | Kostantinos Georje Georgostathis | Konstantinos Georgostathis

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 Konstantinos Georje Georgostathis'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®
CFP®

Certified Financial Planner

Experience

Current

March 6, 2023 - Present

VANTAGE FINANCIAL PARTNERS, LLC

Office #1: 7844 Remington Rd, Cincinnati, OH 45242
RIA
CRD#: 315828
Cincinnati, OH
Current

April 1, 2026 - Present

NORTHROCK PARTNERS, LLC

Office #1: 5151 Pfeiffer Road Suite 200, Blue Ash, OH 45242
RIA
CRD#: 167908
Blue Ash, OH
Past

August 16, 2019 - March 9, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Cincinnati, OH
Past

December 3, 2018 - March 9, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Cincinnati, OH
Past

July 16, 2018 - September 17, 2018

9258 WEALTH MANAGEMENT, LLC

RIA
CRD#: 290693
BLUE ASH, OH
Past

January 12, 2000 - June 11, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

October 14, 1996 - June 18, 1998

LUMENT SECURITIES, LLC

BD
CRD#: 14840
COLUMBUS, OH
Past

December 16, 1993 - October 18, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA

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".
NORTHROCK PARTNERS, LLC
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA
Registered Investment Advisory firm - (6/13/2013 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
Ohio
(3/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1993
General Securities Representative Examination

Current Firm

NORTHROCK PARTNERS, LLC
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA
Registered Investment Advisory firm - (6/13/2013 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
225 South Sixth Street Suite 1400, Minneapolis, MN 55402
Mailing Address
Phone number
(612) 367-8800
Established
Firm type
Fiscal year end
# of Employees
161

SEC notice filing (40 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

NORTHROCK PARTNERS ADV 2A BROCHURE (7/10/2025)
NORTHROCK PARTNERS WRAP BROCHURE MARCH 2024 (2/26/2025)

Regulatory assets under management

Total Number of Accounts12,834
AUM (Assets Under Management)$ 6,596,242,797

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/26/2025
Cover Page
Report
11/05/2024
Cover Page
Report
01/29/2024
Cover Page
Report

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

NORTHROCK PARTNERS, LLC

NORTHROCK PARTNERS, LLC

CRD#: 167908Cincinnati, OH 45242

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