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5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-02-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fidelity Brokerage Services Llc | Larkspur | CA | 06/2013 | 07/2017 |
| Mercer Global Advisors Inc. | San Francisco | CA | 07/2017 | 03/2018 |
| Online Capital Management | San Rafael | CA | 03/2018 | 12/2018 |
| Empirical Wealth Management | San Francisco | CA | 01/2019 | 02/2024 |
| Mariner Wealth Advisors | Overland Park | KS | 02/2024 | Present |
Financial Industry Regulatory Authority, Inc., Investment related: N, Virtual/San Francisco, CA, Non-Public Arbitrator, Feb 07, 2020, 1 hour per month, 0 hours during trading hours, Arbitrator for disputes.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 1993-01-06 |
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