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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 | 2022-04-04 |
Branch Locations
500 La Gonda Way Suite 280, Danville, CA 94526 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Danville | CA | 02/2012 | Present |
| Mariner Independent Advisor Network, Llc | Danville | CA | 11/2014 | Present |
1) 09/14/2022 - Mariner Advisor Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/15/22 2) 3/10/2023 - Mercado Venture Partners - Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 01/24/2023 - 0 Hours Per Month/0 Hours During Securities Trading 3) 05/22/2023 - Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Mariner Independent Advisor Network LLC an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-14 |
| S65 | Uniform Investment Adviser Law Examination | 1998-11-02 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-27 |
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