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Mariner CRD 140195
$125B regulatory AUM 216 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-01-04 |
Branch Locations
7011 Koll Center Parkway, Suite 260, Pleasanton, CA 94566 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Commonwealth Financial Network | San Diego | CA | 08/2014 | 12/2021 |
| Commonwealth Financial Network | San Diego | CA | 12/2021 | 05/2022 |
| Msec, Llc | Pleasanton | CA | 05/2022 | Present |
| Mariner Wealth Advisors | Pleasanton | CA | 05/2022 | 12/2022 |
| Mariner Wealth Advisors | Pleasanton | CA | 01/2023 | Present |
1. NOTARY PUBLIC; NOT INVESTMENT RELATED; CONDUCTED AT BRANCH. 2. MSEC, LLC; REGISTERED REPRESENTATIVE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2003-03-10 |
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