Katie J. Ross

MCMAHAN CAPITAL MANAGEMENT

Carmel, IN 46032

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CRD#: 6756372

Professional summary

Katie Jo Ross, CFP®, who also goes by Katie Jo Monaghan, Katie J Ross, is a registered financial advisor currently at MCMAHAN CAPITAL MANAGEMENT located in Carmel, Indiana.

Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Katie has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katie Jo Monaghan | Katie J Ross

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 Katie Jo Ross'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

February 4, 2024 - Present

MCMAHAN CAPITAL MANAGEMENT

Office #1: 316 West Main Street, Carmel, IN 46032

RIA

CRD#: 109140

Carmel, IN

Past

September 13, 2021 - February 13, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Indianapolis, IN

Past

September 13, 2021 - February 13, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Indianapolis, IN

Past

November 20, 2019 - July 26, 2021

FORVIS MAZARS WEALTH ADVISORS, LLC

RIA

CRD#: 110905

Indianapolis, IN

Past

July 12, 2017 - November 7, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Minneapolis, MN

Past

June 27, 2017 - November 7, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Minneapolis, 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".

MCMAHAN CAPITAL MANAGEMENT

MCMAHAN CAPITAL MANAGEMENT | MCMAHAN, JEFF A. | MCMAHAN CAPITAL MANAGEMENT LLC

CRD#: 109140 / SEC#: 801-131548

RIA

Registered Investment Advisory firm - (11/27/2024 Approved)

California

Registered Investment Advisory firm - (12/13/2024 Terminated)

Indiana

Registered Investment Advisory firm - (12/4/2024 Terminated)

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).

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
(2/4/2024)

IAR

Indiana
(2/4/2024)

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 66

Date: 7/12/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/2017

General Securities Representative Examination

Current Firm

MCMAHAN CAPITAL MANAGEMENT

MCMAHAN CAPITAL MANAGEMENT | MCMAHAN, JEFF A. | MCMAHAN CAPITAL MANAGEMENT LLC

CRD#: 109140 / SEC#: 801-131548

RIA

Registered Investment Advisory firm - (11/27/2024 Approved)

California

Registered Investment Advisory firm - (12/13/2024 Terminated)

Indiana

Registered Investment Advisory firm - (12/4/2024 Terminated)

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Contact information

Main Address

316 West Main Street, Carmel, IN 46032

Mailing Address

Phone number

(317) 573-2202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCMAHAN CAPITAL MANAGEMENT BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 115,763,721

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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Advisor Monitoring

Firm Stability Insights

Katie J. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Jo Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

FORVIS MAZARS WEALTH ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

MCMAHAN CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2017

SIE

Date: 10/1/2018

Series 7

Date: 6/27/2017

Current Firm

MCMAHAN CAPITAL MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCMAHAN CAPITAL MANAGEMENT

TRUST BUT VERIFY

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