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Kara Lynn Dorothy

Mercer Global Advisors Inc.

West Des Moines, IA

Denver, CO

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Current Employers
Mercer Global Advisors Inc.

1200 17Th Street Suite 2000, Denver, CO 80202 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-10-08
  • IA RA
    APPROVED
    Since 2024-10-08

Branch Locations

2600 Westown Parkway Suite 346, West Des Moines, IA 50266 • United States

1200 17Th Street Suite 2000, Denver, CO 80202 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mesirow Financial, Inc. Highland Park IL 09/2014 10/2016
Neuberger Berman Chicago IL 12/2016 10/2018
Mariner Wealth Advisors Des Moines IA 05/2019 03/2021
Unemployed Davenport IA 10/2018 05/2019
Mission Wealth Management, Lp Santa Barbara CA 06/2021 04/2024
Mercer Global Advisors Inc. West Des Moines IA 09/2024 Present
Unemployed Grimes IA 04/2024 09/2024
  • 09/2014 → 10/2016
    Mesirow Financial, Inc.
    Highland Park, IL
  • 12/2016 → 10/2018
    Neuberger Berman
    Chicago, IL
  • 05/2019 → 03/2021
    Mariner Wealth Advisors
    Des Moines, IA
  • 10/2018 → 05/2019
    Unemployed
    Davenport, IA
  • 06/2021 → 04/2024
    Mission Wealth Management, Lp
    Santa Barbara, CA
  • 09/2024 → Present
    Mercer Global Advisors Inc.
    West Des Moines, IA
  • 04/2024 → 09/2024
    Unemployed
    Grimes, IA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-08
  • S66 Uniform Combined State Law Examination
    2015-06-08
Other Names
  • Kara Lynn Ott

View on SEC IAPD

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PARK AVENUE SECURITIES LLC

Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
LPL FINANCIAL LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA

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