Brad L. Griswold

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CRD#: 2144498

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brad Lee James Griswold was a registered financial professional .

Brad is a previously registered financial professional and started their career in finance in 1991. Brad had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Biography

Brad has over 30 years of experience in wealth management and manages strategic relationships for the firm. He focuses on providing high-net worth families with comprehensive planning and investment strategies to assist in the management and protection of multigenerational wealth.

Prior to joining Mariner Wealth Advisors, Brad was the founder and Managing Partner of Corbenic Partners LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

INSURANCE SALES - FIXED PRODUCT; INVESTMENT RELATED; 1525 VALLEY CENTER PARKWAY, STE 310 BETHLEHEM PA 18017; PARTNER; START DATE: 10/2002; APPROX 10 HRS/MO; INSURANCE ANALYSIS AND SALES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 5, 2022 - October 2, 2023

MARINER WEALTH

RIA

CRD#: 140195

Bethlehem, PA

Past

September 30, 2011 - July 15, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

BETHLEHEM, PA

Past

September 12, 2011 - September 1, 2022

CORBENIC PARTNERS, LLC

RIA

CRD#: 158681

BETHLEHEM, PA

Past

December 8, 1994 - October 13, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

BETHLEHEM, PA

Past

October 31, 1994 - October 13, 2011

LPL FINANCIAL LLC

CRD#: 6413

BETHLEHEM, PA

Past

July 3, 1991 - November 1, 1994

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WEST LONG BRANCH, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

Registered Investment Advisory firm - (4/24/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/31/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/1995

General Securities Principal Examination

Current Firm

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

Registered Investment Advisory firm - (4/24/2006 Approved)

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Contact information

Main Address

5700 W. 112th Street Suite 500, Overland Park, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

1,503

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARINER ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	155,767
AUM (Assets Under Management)	$ 98,603,233,201

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
11/19/2024	Cover Page	Report
12/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Brad L. Griswold

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CORBENIC PARTNERS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT ADVISORS & CONSULTANTS, INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/8/1996

Series 63

Date: 7/3/1991

SIE

Date: 10/1/2018

Series 7

Date: 9/13/1994

Series 6

Date: 7/2/1991

Series 51

Date: 8/31/2004

Series 24

Date: 1/24/1995

Current Firm

MARINER WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MARINER WEALTH

TRUST BUT VERIFY

Contact information

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