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Mariner CRD 140195
$125B regulatory AUM 216 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2022-01-03 |
Branch Locations
7011 Koll Center Pkway Ste. 260, Pleasanton, CA 94566 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc. | Rounk Rock | TX | 03/2013 | 11/2016 |
| Wells Fargo Bank Na | Round Rock | TX | 10/2010 | 11/2021 |
| Wells Fargo Clearing Services, Llc | Rounk Rock | TX | 11/2016 | 11/2021 |
| Commonwealth Financial Network | Waltham | MA | 11/2021 | 12/2021 |
| Viewpoint Financial Network | Pleasanton | CA | 11/2021 | 12/2021 |
| Mariner Wealth Advisors | Pleasanton | CA | 12/2021 | Present |
| Msec, Llc | Pleasanton | CA | 12/2021 | Present |
Fixed insurance sales; as of 11/01/2021; Less than 3% of time spent during business hours; Conducted at branch location; Investment related. MSEC, LLC, 5700 W. 112th St., Suite 500, Overland Park, KS 66211; Investment related; Registered Rep; Start date: 12/2021, 40 HRS/WK during securities trading hours. Mariner Wealth Advisors; 5700 W. 112th St. Suite 500 Overland Park, KS 66211; Investment Related, Investment Advisor Representative, Start date: 12/2021, 40 HRS/WK during securities trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-05-28 |
| S63 | Uniform Securities Agent State Law Examination | 2013-05-07 |
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