David Carroll Colby

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2002 → 03/2019
  Fidelity Investments
  Merrimack, NH
• 07/2018 → 03/2019
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 03/2019 → 05/2023
  Charles Schwab & Co., Inc.
  Manchester, NH
• 03/2019 → 05/2023
  Charles Schwab Bank
  Manchester, NH
• 05/2023 → 10/2024
  Avantax Advisory Services
  Dallas, TX
• 05/2023 → 10/2024
  Avantax Investment Services, Inc.
  Dallas, TX
• 10/2024 → Present
  Mariner Wealth Advisors
  Overland Park, KS

Previous Registrations

• 2023-06-02 → 2024-11-05
  Avantax Advisory Services
  Dallas, TX
• 2019-04-03 → 2023-05-19
  Charles Schwab & Co., Inc.
  Bedford, NH
• 2018-07-13 → 2019-03-07
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 2005-07-26 → 2018-07-13
  Strategic Advisers Llc
  Durham, NC
  Merrimack, NH
  Merrimack, NH

Exams

• S66 Uniform Combined State Law Examination
  2005-06-30
• S63 Uniform Securities Agent State Law Examination
  2003-06-06