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RIA / WealthAdvisorCertified Financial Planner18 years in industry

KEITH GORMAN DOWLING

Advisor at MARINER

Florham Park, NJ

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Search this name across graphsid dfx:ria:27594aca-d781-2de8-1fa2-82771c658c6e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 7, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 5, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 5, 2008
First registration: Jul 7, 2008
Dual registered: no
Other names: KEITH G DOWLING
IAPD individual key: 4861747

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Mar 17, 2015	n/a	yes	Florham Park, NJ	Current employment
FIRSTPOINT FINANCIAL, LLC	Former SEC adviser	May 21, 2015	Mar 22, 2017	no	OVERLAND PARK, KS	Previous registration
MARINER WEALTH ADVISORS	Former SEC adviser	Oct 30, 2014	Jun 5, 2017	no	MADISON, NJ\|OVERLAND PARK, KS	Previous registration
MARINER WEALTH ADVISORS	Former SEC adviser	Oct 29, 2014	Jun 5, 2017	no	MADISON, NJ\|OVERLAND PARK, KS	Previous registration
MARINER WEALTH ADVISORS	Former SEC adviser	Sep 2, 2014	Jul 3, 2018	no	OVERLAND PARK, KS\|MADISON, NJ	Previous registration
FIRSTPOINT FINANCIAL, LLC	Former SEC adviser	Jun 23, 2014	Jan 21, 2016	no	LEAWOOD, KS\|MADISON, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Nov 30, 2012	Jun 24, 2014	no	New York, NY	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 7, 2008	Jul 20, 2012	no	WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|WEEHAWKEN, NJ\|NEW YORK, NY\|NEW YORK, NY\|WEEHAWKEN, NJ\|NEW YORK, NY\|WEEHAWKEN, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MARINER WEALTH ADVISORS	MARINER WEALTH ADVISORS	Jul 3, 2018	Oct 29, 2014	-1,343	Channel change	Other
MARINER WEALTH ADVISORS	MARINER WEALTH ADVISORS	Jun 5, 2017	Oct 30, 2014	-949	Channel change	Other
MARINER WEALTH ADVISORS	Mariner	Jun 5, 2017	Mar 17, 2015	-811	Firm change after gap	Other
FIRSTPOINT FINANCIAL, LLC	n/a	Mar 22, 2017	n/a	n/a	Departure no registered destination	Departure
FIRSTPOINT FINANCIAL, LLC	MARINER WEALTH ADVISORS	Jan 21, 2016	Sep 2, 2014	-506	Channel change	Other
MORGAN STANLEY	FIRSTPOINT FINANCIAL, LLC	Jun 24, 2014	Jun 23, 2014	-1	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Jul 20, 2012	Nov 30, 2012	133	Firm change	Wirehouse to wirehouse

Relationships

Registered with (8)

→ MARINERRegistered adviserregistration: current employment
Mar 17, 2015 to presentfactForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserregistration: previous registration
Sep 2, 2014 to Jul 3, 2018factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserregistration: previous registration
Oct 29, 2014 to Jun 5, 2017factForm ADV
→ MARINER WEALTH ADVISORSRegistered adviserregistration: previous registration
Oct 30, 2014 to Jun 5, 2017factForm ADV
→ FIRSTPOINT FINANCIAL, LLCRegistered adviserregistration: previous registration
May 21, 2015 to Mar 22, 2017factForm ADV
→ FIRSTPOINT FINANCIAL, LLCRegistered adviserregistration: previous registration
Jun 23, 2014 to Jan 21, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 30, 2012 to Jun 24, 2014factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 7, 2008 to Jul 20, 2012factForm ADV

Dated events

No dated event names this entity yet.