Ray D. Matz

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CRD#: 2154503

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.

Ray Dean Matz was a registered financial professional .

Ray is a previously registered financial professional and started their career in finance in 1991. Ray had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.

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.

03/2020-PRESENT, BRITTANY FOREST HOA, OLATHE, KS, HOME OWNERS ASSOCIATIONS, NOT INVEST-RELATED, BOARD MEMBER, 4 HRS/MO, 0 HRS DURING SEC TRADING. MSEC, LLC, 5700 W. 112thST., SUITE 500, OVERLAND PARK, KS 66211; INVESTMENT RELATED; ASSOCIATE; START DATE ; 40 HRS/WK DURING SECURITIES TRADING HOURS. MARINER WEALTH ADVISORS, 5700 W. 112thST., SUITE 500, OVERLAND PARK, KS 66211; INVESTMENT RELATED; ASSOCIATE; START DATE ; 40 HRS/WK DURING SECURITIES TRADING HOURS.

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

November 11, 2021 - April 3, 2023

MARINER WEALTH

RIA

CRD#: 140195

OVERLAND PARK, KS

Past

November 11, 2021 - April 3, 2023

MSEC, LLC

CRD#: 154327

Overland Park, KS

Past

April 16, 2012 - August 23, 2021

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

April 16, 2012 - August 23, 2021

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

September 1, 2009 - April 9, 2012

BANKERS & INVESTORS CO.

RIA

CRD#: 6874

OLATHE, KS

Past

September 1, 2009 - April 9, 2012

BANKERS & INVESTORS CO.

CRD#: 6874

OLATHE, KS

Past

December 1, 2004 - August 28, 2009

NTB FINANCIAL CORPORATION

RIA

CRD#: 7425

OVERLAND PARK, KS

Past

August 11, 2004 - August 28, 2009

NTB FINANCIAL CORPORATION

CRD#: 7425

OVERLAND PARK, KS

Past

March 29, 2000 - August 11, 2004

CHAPMAN SECURITIES, INC.

RIA

CRD#: 25688

OVERLAND PARK, KS

Past

December 2, 1994 - August 11, 2004

CHAPMAN SECURITIES, INC.

CRD#: 25688

WICHITA, KS

Past

June 29, 1992 - December 15, 1994

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

July 8, 1991 - July 7, 1992

GENERAL SECURITIES CORP

CRD#: 15062

NORTH KANSAS CITY, MO

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: 2/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/5/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/28/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/5/1997

Registered Options 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.

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Advisor Monitoring

Firm Stability Insights

Ray D. Matz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSEC, LLC

WADDELL & REED

WADDELL & REED

BANKERS & INVESTORS CO.

BANKERS & INVESTORS CO.

NTB FINANCIAL CORPORATION

NTB FINANCIAL CORPORATION

CHAPMAN SECURITIES, INC.

CHAPMAN SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

GENERAL SECURITIES CORP

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/1998

Series 63

Date: 7/2/1991

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/5/1991

Series 53

Date: 3/28/2014

Series 24

Date: 3/30/1998

Series 4

Date: 5/5/1997

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

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