Michael James Smith

Current Employers

Mariner Wealth

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

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2021-03-10
NE	RA	APPROVED	2018-04-04

KS RA
APPROVED

Since 2021-03-10
NE RA
APPROVED

Since 2018-04-04

Branch Locations

5700 W. 112Th St Suite 500, Overland Park, KS 66211 • 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
Mariner Wealth Advisors-Ic, Llc	Overland Park	KS	01/2018	Present
Mcfarlin & Brokke, P.C.	Omaha	NE	09/2009	Present

01/2018 → Present

Mariner Wealth Advisors-Ic, Llc

Overland Park, KS
09/2009 → Present

Mcfarlin & Brokke, P.C.

Omaha, NE

Other Businesses

EMPLOYED FULL TIME WITH MCFARLIN & BROKKE,P.C. AS CPA AND PARTNER; 1910 S. 72ND ST, OMAHA, NE 68124. BUSINESS IS NOT INVESTMENT RELATED. HE IS A TAX PARTNER AND CPA, STARTED 9/2009; WORK 160 HOURS A MONTH, ALL DURING SECURITIES TRADING HOURS. DUTIES ARE CPA SERVICES INCLUDING TAX PLANNING AND FILING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-12-07

S65 Uniform Investment Adviser Law Examination

2017-12-07

Other Names

Mike Smith
Michael Smith
Michael J Smith
Michael James Smith

View on SEC IAPD

Current Employers

Mariner Wealth

Disclosures

Employment History

Other Businesses

Exams

Other Names

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