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5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-06-13 |
| CT | RA | APPROVED | 2025-05-23 |
Branch Locations
New Canaan, CT • United States
140 Sherman St 3Rd Floor, Fairfield, CT 06824 • United States
10 N Main Street Suite 214, West Hartford, CT 06107 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Purchase | NY | 05/2012 | 04/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 05/2016 | 04/2019 |
| Charles Schwab & Co., Inc. | Greenwich | CT | 04/2019 | 08/2021 |
| Charle Schwab Bank | Greenwich | CT | 04/2019 | 08/2021 |
| Financial Engines Advisors L.L.C. | Santa Clara | CA | 09/2021 | 04/2025 |
| Mariner | Overland Park | CT | 04/2025 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-08-17 |
| S63 | Uniform Securities Agent State Law Examination | 2011-01-15 |
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