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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 | 2022-01-06 |
Branch Locations
7011 Koll Center Parkway Ste. 260, Pleasanton, CA 94566 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Irvine | CA | 05/2005 | 02/2017 |
| Cooper Financial Group | Irvine | CA | 05/2005 | 02/2017 |
| Integrated Advisors Network, Llc | Palos Verdes Estates | CA | 02/2017 | 02/2018 |
| Commonwealth Financial Network | San Diego | CA | 02/2018 | 12/2021 |
| Mariner Wealth Advisors | Pleasanton | CA | 12/2021 | Present |
| Msec, Llc | Pleasanton | CA | 12/2021 | Present |
1. Fixed insurance sales; As of 01/08/2018; Approximately 1% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Business Consultant, Sole Proprietor, providing operational and marketing consulting services; As of 01/08/2018; Approximately 0% time spent during securities trading hours per month; Not conducted at branch location; Not investment related. 3. MSEC, LLC; Investment Related, 5700 W. 112th St., Suite 500, Overland Park, KS 66211, Registered Representative, Start Date: 12/2021, 40 hrs. per week during securities hours. 4. Mariner Wealth Advisors; Investment Related, 5700 W. 112th St., Suite 500, Overland Park, KS 66211, Investment Advisor Representative, Start Date: 12/2021 40 hrs. per week during securities hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-06 |
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