| Advisor Profile |
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| Disclaimer |
| MSEC, member FINRA, SIPC |
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About Mariner Wealth Advisors |
| Mariner Wealth Advisors is different than other wealth management firms in a variety of ways. One way in which were different is our business model. Our advisors are asked to do one thing, to provide clients wealth advice. Our advisors are not out soliciting new clients. Their objective is to retain the clients they currently have and develop an intimate relationship with them. In order to create that intimate relationship, we take a variety of responsibilities that advisors are traditionally charged with and remove them and simply have them focus on working with their clients, as well as limiting the amount of clients that they can serve. As a firm, we have a separate team of professionals that develops new business and it is their goal to understand who those people are and identify the right advisor they should be with. |
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General Information |
| Years of Experience in Financial Services: |
28
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| Work Experience: |
28 years as an independent Financial Planner, Certified Financial Planner and a Charted Financial Consultant.
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| Name of Custodial Firm: |
TD Ameritrade, Charles Schwab, Fidelity
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| Number of Years with Current Firm: |
1
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| Work with the following types of clients: |
Businesses, Individual Investors
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| Name of Broker/Dealer: |
MSEC
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| States Willing to do Business in: |
Beaverton,Canby,Clackamas,Gaston,Hillsboro,Lake Oswego,Newberg,Portland,Sherwood,Tualatin,West Linn,Wilsonville, WA
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| Advisory Services Provided: |
Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Estate Planning & Trusts, Investment Advice & Management, Financial Advice & Consulting
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Services |
| Investment Types: |
Mutual Funds, Options & Futures, Bonds, Stocks, Annuities, Insurance, Commodities, Mortgages & Real Estate, Exchange Traded Funds (ETFs), Alternative Investments, Socially Responsible Investments (SRI), Real Estate
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| Can meet clients in the following ways: |
Email, Phone, Our Office
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
ChFC®, CFP®
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| Securities Licenses: |
Series 6, Series 7, Series 24, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA), FSI
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Firm Information |
| Assets Managed by Firm: |
60,000,000,000
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| Assets Managed by Advisor: |
150000
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| Advisor's Number of Clients: |
150
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| Advisor's Number of Planning Clients: |
110
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| Advisor's Number of Managed Clients: |
125
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Compliance |
| Criminal Disclosures in Last 5 years: |
I have a clean record
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Acknowledged fiduciary: |
Yes
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Compensation and Fees |
| Fee % Based on Assets: |
1%
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| Compensation Methods: |
Based on Assets, Hourly, Commissions
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| Minimum Portfolio Size for New Managed Accounts: |
$500,000
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| Minimum Fee Charged for Managed Accounts: |
$2500
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| Minimum Fee Charged for Flat Fee Accounts: |
$1000
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Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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We have strong client retention and promptly return phone calls and emails. |
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What are your qualifications? What is your education background? |
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Comprehensive Financial Planning with all fees fully disclosed. We offer a complementary 60 minute consultation to discuss if the services you are seeking match with the services our firm provides. |
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How are you compensated? How will I pay for your services? |
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Generally on a Fee Basis, Based on Assets Managed or an hourly rate |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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No we have a team approach |
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How many clients do you currently manage? |
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Will you be the only person working with me? |
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No, however any manager changes we will get your permission before changing |
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Do you offer any guaranteed results? |
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No one does, If they do you need to find another advisor |
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How much risk should I be willing to take? |
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Depends on what your goals are. |
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Have you ever been charged with any breaches? |
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What is your approach to financial planning? |
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I am independent and the experience to help you navigate the financial challenges of retirement. I am NOT part of a publicly traded company with pre-set investment protocol or more worried about trying to make our shareholders more profitable |
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What services do you offer? |
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Full Financial Planning, Business Planning, Estate Planning & Charitable Planning. |
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Why should I choose you as my financial advisor? |
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27 years as an independent Financial Planner, Certified Financial Planner and a Charted Financial Consultant. |
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What services do you provide? What are your specialties? |
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Income Planning and Retirement Planning |
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What is your experience? How many clients do you currently manage? |
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I have over 21 years in the business and manage over 200 clients |
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What financial institution(s) do you represent? |
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TD Ameritrade Institutional |
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What are your qualifications? |
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21 years as an independent Financial Planner, Certified Financial Planner and a Charted Financial Consultant. |
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| Q. |
What is your approach to 401 K plan rollovers? |
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We implement the use of blending strategic and tactical Money Managers, we don't believe in Buy & Hold. |
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How long does the process of rolling over a 401K plan usually take? |
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What financial institutions do you represent? |
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All the major institutions, TD Ameritrade, Fidelity, Pershing, NFS, Etc |
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How many years of experience do you have? |
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What are your fees for this service? |
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Asset based pricing, generally 1% or less of assets managed |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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As an Independent Fee Based Advisor we can represent our clients to the universe of investments options. NO PROPRIETARY INVESTMENT PRODUCTS |
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