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5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-21 |
Branch Locations
1500 Broadway, 28Th Floor, New York, NY 10036 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mariner Wealth Advisors | New York | NY | 12/2014 | 06/2021 |
| Mariner Wealth Advisors | New York | NY | 06/2021 | Present |
THE ELS GROUP, 900 MERCHANTS CONCOURSE, WESTBURY, NY; NON INVESTMENT RELATED; INSURANCE BROKERAGE; VP OF SALES AND MARKETING; RECEIVES A RESIDUAL AMOUNT ON OLD BOOK OF BUSINESS BASED ON THE REVENUE GENERATED FROM IT; PAID DIRECTLY TO MICHAEL; 2 HRS/MONTH; APPROX 1 HR/MONTH DURING SECURITIES HOURS. TM2, INC, 56 SHELLBARK LANE, BRIARCLIFF MANOR, NY 10510; NON INVESTMENT RELATED; REAL ESTATE HOLDINGS; FAMILY OWNED BUSINESS; ON THE BOARD OF DIRECTORS; DUTIES INCLUDE QUARTERLY CONFERENCE CALLS, VOTE ON DECISIONS FOR BUSINESS, ETC.; 1 HR/MONTH; 0 HR/MONTH DURING SECURITIES HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-09-09 |
| S63 | Uniform Securities Agent State Law Examination | 2004-09-13 |
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