Michael Joseph Horne

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:

Current Employers

Mariner

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

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2021-12-15
CA	RA	APPROVED	2021-07-09
RI	RA	APPROVED	2021-07-09

MA RA
APPROVED

Since 2021-12-15
CA RA
APPROVED

Since 2021-07-09
RI RA
APPROVED

Since 2021-07-09

Branch Locations

3 Allied Drive Suite 303, Dedam, MA 02026 • United States

5000 Birch Street, West Tower #367, Newport Beach, CA 92660 • 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
Edelman Financial Services Llc	Fairfax	VA	01/2016	11/2018
Ef Legacy Securities, Llc	Henrico	VA	04/2016	10/2018
Financial Engines Advisors L.L.C.	Sunnyvale	CA	11/2018	07/2021
Mariner Wealth Advisors	Dedham	MA	07/2021	Present

01/2016 → 11/2018

Edelman Financial Services Llc

Fairfax, VA
04/2016 → 10/2018

Ef Legacy Securities, Llc

Henrico, VA
11/2018 → 07/2021

Financial Engines Advisors L.L.C.

Sunnyvale, CA
07/2021 → Present

Mariner Wealth Advisors

Dedham, MA

Previous Registrations

2018-11-01 → 2021-08-06

Edelman Financial Engines

Costa Mesa, CA

Warwick, RI
2016-02-03 → 2018-11-01

Edelman Financial Services, Llc

Costa Mesa, CA

Fairfax, VA
2011-04-21 → 2016-01-27

Grimes & Company

Westborough, MA
2009-06-22 → 2011-04-12

Wells Fargo Clearing Services, Llc

Worcester, MA

Other Businesses

RENTAL PROPERTY; CHATHAM, MA; INVESTMENT RELATED; OWNER AND MANAGER OF PROPERTY USED FOR RENTAL INCOME; START DATE 07/2021; 3 HRS/MONTH AND 0 DURING SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-06-19

S66 Uniform Combined State Law Examination

2009-06-19

Designations

Certified Financial Planner

Other Names

Michael Horne
Mike Joseph Horne

View on SEC IAPD