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Advisor at MARINER
OVERLAND PARK, KS
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| Mariner | Bd affiliated wealth | Sep 10, 2016 | n/a | yes | OVERLAND PARK, KS | Current employment |
| MARINER WEALTH ADVISORS | Former SEC adviser | Jun 30, 2014 | Sep 9, 2016 | no | OVERLAND PARK, KS | Previous registration |
| UMB FINANCIAL SERVICES, INC. | Independent wealth | Apr 28, 2010 | Jun 19, 2014 | no | KANSAS CITY, MO | Previous registration |
| UMB FINANCIAL SERVICES, INC. | Independent wealth | Jun 22, 2006 | Oct 2, 2009 | no | KANSAS CITY, MO|LIBERTY, MO|KANSAS CITY, MO | Previous registration |
| CETERA INVESTMENT SERVICES LLC | Former SEC adviser | Feb 15, 2005 | Jun 15, 2006 | no | OLATHE, KS | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Nov 18, 2003 | Sep 14, 2004 | no | KANSAS CITY, MO | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MARINER WEALTH ADVISORS | Mariner | Sep 9, 2016 | Sep 10, 2016 | 1 | Firm change | Other |
| UMB FINANCIAL SERVICES, INC. | MARINER WEALTH ADVISORS | Jun 19, 2014 | Jun 30, 2014 | 11 | Firm change | Other |
| CETERA INVESTMENT SERVICES LLC | UMB FINANCIAL SERVICES, INC. | Jun 15, 2006 | Jun 22, 2006 | 7 | Firm change | Other |
| MORGAN STANLEY DW INC. | CETERA INVESTMENT SERVICES LLC | Sep 14, 2004 | Feb 15, 2005 | 154 | Firm change | Other |