Scott N Mesa

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → 09/2018
  Rim Securities Llc
  New York City, NY
• 09/2011 → 03/2023
  Self
  New York City, NY
• 10/2018 → 09/2022
  Bny Mellon
  Newport Beach, CA
• 04/2020 → 09/2022
  Bny Mellon Securities Corporation
  Newport Beach, CA
• 10/2022 → 06/2023
  Ieq Capital, Llc
  West Los Angeles, CA
• 10/2023 → 11/2023
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 06/2023 → 09/2023
  Unemployed
  Lake Forest, CA
• 11/2023 → Present
  Mariner Wealth Advisors
  Overland Park, KS

Previous Registrations

• 2023-10-02 → 2023-11-01
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
• 2022-10-14 → 2023-07-26
  Ieq Capital, Llc
  Newport Beach, CA
• 2014-02-18 → 2018-09-17
  Rbc Rochdale, Llc
  New York, NY

Other Businesses

1) Latino Professionals, Investment related: N, Orange Count/virtual, professional latino community, President, 05/01/2024, 5 hours per month, 0 hours during trading hours, starting a new chapter of Latino Professionals in orange county. 2) SER Summit for Latin@s in FinServ; Not investment-related; Orange County/Virtual; Professional Networking; Planning Committee Member; Start Date: 01/01/2025; 2 hrs/month, 1 hour during securities trading hours; serving on a committee as a volunteer related to content and speakers.

Exams

• S66 Uniform Combined State Law Examination
  2014-02-18

Designations

• Certified Financial Planner