Amy Helen Secor

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:

Current Employers

Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2022-04-18

WA RA
APPROVED

Since 2022-04-18

Branch Locations

11225 Se 6Th Street Ste. 260, Bellevue, WA 98004 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tiaa-Cref Individual & Institutional Services, Llc	Seattle	WA	01/2004	03/2022
Tiaa	Seattle	WA	01/2004	03/2022
Mariner Wealth Advisors	Bellevue	WA	04/2022	Present

01/2004 → 03/2022

Tiaa-Cref Individual & Institutional Services, Llc

Seattle, WA
01/2004 → 03/2022

Tiaa

Seattle, WA
04/2022 → Present

Mariner Wealth Advisors

Bellevue, WA

Previous Registrations

2005-12-05 → 2022-03-22

Tiaa-Cref Individual & Institutional Services, Llc

Seattle, WA

Kirkland, WA

Kirkland, WA

Other Businesses

(1) UNIVERSITY OF WASHINGTON PLANNED GIVING ADVISORY BOARD. ADVISORY BOARD MEMBER, NO DECISION MAKING AUTHORITY. CASES REVIEWED ANONYMOUSLY. MY ROLE IS TO PROVIDE EXPERIENTIAL ADVICE REGARDING COMPLEX PLANNED GIVING CASE STUDIES. EFFECTIVE DATE: 9/2011 SEATTLE WASHINGTON 7 MEETINGS PER YEAR, 1 HOUR PER MEETING. NO HOURS DEVOTED DURING SECURITIES TRADING HOURS. (2) INDIVIDUALLY OWNED RENTAL PROPERTY - DADU POSITION: Property Owner NATURE: Rental property/property management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: Home Address, SEATTLE WA 98199, United States DESCRIPTION: I own a rental unit on my property that is leased using a long term contract. (3) INDIVIDUALLY OWNED RENTAL PROPERTY POSITION: Property Owner NATURE: Investment INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2003 ADDRESS: 563-565 N. Simpson Ave, Portland OR 97217, United States DESCRIPTION: Rental Real Estate Ownership

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-12-02
S63	Uniform Securities Agent State Law Examination	1996-11-11

S66 Uniform Combined State Law Examination

2005-12-02
S63 Uniform Securities Agent State Law Examination

1996-11-11

Designations

Certified Financial Planner

Other Names

Amy Helen Secor
Amy Helen Bernstein

View on SEC IAPD