Brett Thomas Guendel

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → 11/2017
  Waddell & Reed Inc
  Waukesha, WI
• 07/2014 → 11/2017
  Various Insurance Carriers For W & R Insurance Agencies
  Greendale, WI
• 02/2015 → 11/2017
  Brookfield Chamber Of Commerce
  Brookfield, WI
• 08/2015 → 11/2017
  Roteract
  Milwaukee, WI
• 11/2017 → 03/2020
  Securities America, Inc.
  Riverwoods, IL
• 11/2017 → 03/2020
  Securities America Advisors
  Riverwoods, IL
• 08/2019 → 03/2020
  Arbor Point Advisors
  Riverwoods, IL
• 03/2020 → Present
  Mariner Wealth Advisors
  Oakbrook Terrace, IL

Previous Registrations

• 2017-11-10 → 2020-03-13
  Securities America Advisors, Inc.
  Riverwoods, IL
• 2019-08-19 → 2020-03-13
  Arbor Point Advisors
  Riverwoods, IL
• 2014-07-07 → 2017-11-08
  Waddell & Reed
  Waukesha, WI
  Waukesha, WI

Other Businesses

Non-variable Insurance - Providing different insurance services to clients.

Exams

• S66 Uniform Combined State Law Examination
  2014-07-07

Designations

• Certified Financial Planner