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MM

Mark R. Merten

INVEST CAPITAL PARTNERS
Springboro, OH 45066
Some features on this profile are disabled
CRD#: 4218324
MM

Professional summary

Mark Robert Merten is a registered financial advisor currently at INVEST CAPITAL PARTNERS located in Springboro, Ohio.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Mark has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

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.
Merten Capital, LLC, DBA for Investment Advisory business, 550 S. Main St. Springboro OH, 45066. President. 02/2019.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Robert Merten'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

February 15, 2019 - Present

INVEST CAPITAL PARTNERS

Office #1: 550 S. Main Street, Springboro, OH 45066
RIA
CRD#: 287987
Springboro, OH
Past

February 28, 2019 - December 31, 2024

L.M. KOHN & COMPANY

BD
CRD#: 27913
Dayton, OH
Past

February 8, 2008 - February 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
MIAMISBURG, OH
Past

February 8, 2008 - February 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MIAMISBURG, OH
Past

April 2, 2007 - February 11, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CENTERVILLE, OH
Past

April 2, 2007 - February 11, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CENTERVILLE, OH
Past

May 9, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CENTERVILLE, OH
Past

August 22, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CENTERVILLE, OH

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".
IC
INVEST CAPITAL PARTNERS
CHUDDE WEALTH MANAGEMENT | ROCKWOOD INVESTMENT COUNSEL | RIVERVIEW ACCOUNTING & ADVISORY, CO. | MIDWESTERN WEALTH MANAGEMENT | MERTEN CAPITAL | INVEST CAPITAL PARTNERS, LLC | INVEST CAPITAL PARTNERS, CO. | INVEST CAPITAL PARTNERS | INERTIA WEALTH MANAGEMENT

CRD#: 287987 / SEC#: 801-110218

RIA
Registered Investment Advisory firm - (4/4/2017 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
California
(10/2/2025)
IAR
Florida
(11/3/2025)
IAR
Ohio
(2/15/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/13/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/2000
General Securities Representative Examination

Current Firm

IC
INVEST CAPITAL PARTNERS
CHUDDE WEALTH MANAGEMENT | ROCKWOOD INVESTMENT COUNSEL | RIVERVIEW ACCOUNTING & ADVISORY, CO. | MIDWESTERN WEALTH MANAGEMENT | MERTEN CAPITAL | INVEST CAPITAL PARTNERS, LLC | INVEST CAPITAL PARTNERS, CO. | INVEST CAPITAL PARTNERS | INERTIA WEALTH MANAGEMENT

CRD#: 287987 / SEC#: 801-110218

RIA
Registered Investment Advisory firm - (4/4/2017 Approved)
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Contact information

Main Address
550 S. Main Street, Springboro, OH 45066
Mailing Address
550 S. Main Street, Springboro, OH 45066
Phone number
(937) 557-3200
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (14 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

INVEST CAPITAL PARTNERS BROCHURE DISCLOSURE (1/7/2025)

Regulatory assets under management

Total Number of Accounts1,200
AUM (Assets Under Management)$ 229,325,324

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

INVEST CAPITAL PARTNERS

CRD#: 287987Springboro, OH 45066

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