Katie M. Stokes
KEEN CAPITAL, LTD | Chief Investment Officer
Chapin, SC 29036
Some features on this profile are disabled
CRD#: 5642429
Professional summary
Katie Stokes, CFP®, who also goes by Katherine Marie Stokes, Katherine Stokes, is a registered financial advisor currently at KEEN CAPITAL, LTD located in Chapin, South Carolina.
Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Katie has worked at 2 firms .
Biography
A graduate of Chapin High School and the University of South Carolina in Economics and Finance, Katie focuses on the research, structure and implementation of investment portfolios for Core Advisors. Katie earned her CFP® designation in 2007 and joined Core Advisors in 2015 to bring her portfolio development experience to a team of innovative thinkers.
As a CFA Charterholder, Katie serves on the board of the CFA Society of South Carolina promoting the Women in Investment initiative and CFA Scholarships.
She has been quoted in several publications and speaks on various financial planning topics.
Question & Answer
What are your service offerings?
Retirement Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Life Transitions
Investment Planning
Estate Planning
What is your minimum asset requirement?
250K
Are you a "fiduciary"?
Yes
Aliases
Katherine Marie Stokes | Katherine Stokes
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.
1) Name: CFA Society South Carolina; Investment Related: No; Address: At reported business location; Nature: non-profit professional organization; Position: President and CEO; Start Date: 7/1/2024; Number of Hours: 20 per month; Duties: Oversees the planning and administration of all Society activities.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Stokes'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®
CFP®
Start date: 2007
Experience
Current
April 3, 2015 - Present
KEEN CAPITAL, LTD
Office #1: 510 Lexington Avenue Suite 101, Chapin, SC 29036RIA
CRD#: 145023
Chapin, SC
Past
January 29, 2010 - February 20, 2015
JE WILSON ADVISORS, LLC
RIA
CRD#: 110375
COLUMBIA, SC
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".
KC
KEEN CAPITAL, LTD
CORE ADVISORS, LTD | KEEN CAPITAL, LTD | KEEN CAPITAL, LLC | KEEN CAPITAL | CORE ADVISORS, LTD.
CRD#: 145023 / SEC#: 801-123128
RIA
Registered Investment Advisory firm - (1/25/2022 Approved)South Carolina
Registered Investment Advisory firm - (2/23/2022 Terminated)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
South Carolina(4/3/2015)
Exams
Current Firm
KC
KEEN CAPITAL, LTD
CORE ADVISORS, LTD | KEEN CAPITAL, LTD | KEEN CAPITAL, LLC | KEEN CAPITAL | CORE ADVISORS, LTD.
CRD#: 145023 / SEC#: 801-123128
RIA
Registered Investment Advisory firm - (1/25/2022 Approved)South Carolina
Registered Investment Advisory firm - (2/23/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
510 Lexington Avenue Suite 101, Chapin, SC 29036
Mailing Address
P.o. Box 699, Chapin, SC 29036
Phone number
(803) 941-4444
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 348 |
| AUM (Assets Under Management) | $ 161,285,066 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/28/2024 | ||
| 06/29/2023 | ||
| 10/07/2022 |
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
KEEN CAPITAL, LTD
Chief Investment OfficerCRD#: 145023Chapin, SC 29036TRUST BUT VERIFY
Monitor Katie Stokes
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
