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5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2023-12-18 |
Branch Locations
4801 Olympia Park Plaza Suite 3500, Louisville, KY 40241 • United States
3499 Blazer Parkway Suite 300, Lexington, KY 40509 • United States
3707 Charlestown Rd. Suite C-2, New Albany, IN 47150 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Invesco Distributors, Inc. | Houston | TX | 06/2010 | 12/2017 |
| Edward Jones | St.LOuis | MO | 01/2018 | 05/2021 |
| Empire Asset Management Company | New York | NY | 05/2021 | 08/2022 |
| Argi Investment Services, Llc | Louisville | KY | 08/2022 | 04/2023 |
| Cerity Partners | Louisville | KY | 04/2023 | 11/2023 |
| Mariner Wealth Advisors | Overland Park | KS | 12/2023 | Present |
River Fields; not investment related; Louisville, KY; non-profit; board member; start date 9/17/25; 10 hours /month, 1 during trading hours; trustee / board member. Non-variable Insurance - Providing different insurance services to clients.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-02-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-29 |
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