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KM

Katherine W. Mitakides

INVEST CAPITAL PARTNERS
Springboro, OH 45066
Some features on this profile are disabled
CRD#: 7024134
KM

Professional summary

Katherine Wynn Mitakides, who also goes by Katherine Mitakides, Katherine Wynn Moody, Katherine Moody, Katherine Wynn Vanderkaay, is a registered financial advisor currently at INVEST CAPITAL PARTNERS located in Springboro, Ohio.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Katherine has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Katherine Mitakides | Katherine Wynn Moody | Katherine Moody | Katherine Wynn Vanderkaay

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.
Dr. John Mitakides, DDS Inc. Type of business: Dental Practice Beavercreek, OH Start date: 8/1/2005 Marketing Communications Hours per week: 0 Hours during trading: 0 I am employed in this position for healthcare purposes only. I do not have any daily responsibilities and do not work any regular hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Wynn Mitakides'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

May 15, 2024 - Present

INVEST CAPITAL PARTNERS

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

March 1, 2019 - May 21, 2024

EDWARD JONES

RIA
CRD#: 250
WAYNESVILLE, OH
Past

December 21, 2018 - May 21, 2024

EDWARD JONES

BD
CRD#: 250
WAYNESVILLE, 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
Ohio
(5/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/28/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/21/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/13/2018
Securities Industry Essentials 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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