Inactive

Maurice Franklin

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Current Employers

Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-08-25

CA RA
APPROVED

Since 2021-08-25

Branch Locations

1960 E Grand Avenue Ste 410, El Segundo, CA 90245 • 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

Organization	City	State	From	To
Mariner Wealth Advisors	El Segundo	CA	07/2021	Present
Saks Fifth Avenue	Los Angeles	CA	11/2014	10/2020
Unemployed	Los Angeles	CA	10/2020	07/2021

07/2021 → Present

Mariner Wealth Advisors

El Segundo, CA
11/2014 → 10/2020

Saks Fifth Avenue

Los Angeles, CA
10/2020 → 07/2021

Unemployed

Los Angeles, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-01-14

S65 Uniform Investment Adviser Law Examination

2021-01-14

Designations

Other Names

Maurice Franklin

View on SEC IAPD

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Other Investors

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MICHAEL J HATCH

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JAMES ROBERT MANION

Other Offices

MORGAN STANLEY · El Segundo, CA

WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA

WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · EL SEGUNDO, CA

SOLACE CAPITAL PARTNERS, L.P. · EL SEGUNDO, CA

STRANDVIEW CAPITAL, LLC · EL SEGUNDO, CA

UBS FINANCIAL SERVICES INC. · El Segundo, CA

UBS FINANCIAL SERVICES INC. · El Segunda, CA

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