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Investment Adviser Firm Summary

MARINER, LLC (CRD# 140195 / SEC# 801-66632)
Alternate Names: KUMMER FINANCIAL STRATEGIES , MARINER INSTITUTIONAL CONSULTING, LLC , MARINER WEALTH ADVISORS , MARINER WEALTH ADVISORS, LLC , MARINER, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/24/2006

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/29/2018
Arizona 01/07/2011
Arkansas 03/29/2018
California 08/19/2008
Colorado 01/07/2011
Connecticut 03/28/2017
Delaware 03/29/2018
District of Columbia 01/07/2011
Florida 03/28/2017
Georgia 08/26/2016
Hawaii 03/30/2015
Idaho 03/29/2018
Illinois 01/24/2011
Indiana 03/30/2015
Iowa 08/26/2016
Kansas 05/11/2006
Kentucky 03/29/2018
Louisiana 03/29/2018
Maine 03/29/2018
Maryland 01/20/2011
Massachusetts 08/26/2016
Michigan 01/07/2011
Minnesota 01/20/2011
Mississippi 03/28/2017
Missouri 05/11/2006
Montana 03/29/2018
Nebraska 03/26/2010
Nevada 03/26/2010
New Hampshire 03/30/2015
New Jersey 02/07/2011
New Mexico 01/07/2011
New York 03/26/2010
North Carolina 01/07/2011
North Dakota 03/29/2018
Ohio 03/30/2015
Oklahoma 08/19/2008
Oregon 03/30/2015
Pennsylvania 01/07/2011
Puerto Rico 03/29/2018
Rhode Island 03/29/2018
South Carolina 03/28/2017
South Dakota 02/23/2017
Tennessee 03/29/2018
Texas 05/11/2006
Utah 01/20/2011
Vermont 03/30/2015
Virgin Islands 03/29/2018
Virginia 01/20/2011
Washington 03/26/2014
West Virginia 03/29/2018
Wisconsin 03/28/2017
Wyoming 03/29/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser