Anna C. Barton

Some features on this profile are disabled

CRD#: 2208212

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.

Anna Carol Barton was a registered financial professional .

Anna is a previously registered financial professional and started their career in finance in 1992. Anna had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Biography

Anna provides comprehensive financial advisory services to high-net-worth individuals and their families to help them achieve their goals. With more than 35 years in the financial planning and investment management industry, her experience includes financial and estate planning, income tax compliance, stock option analysis and individualized retirement income planning.

Prior to joining Mariner Wealth Advisors, Anna served as vice president and financial advisor for The Pinnacle Group beginning in 2000. Before that, she acted as president for the Middletown, Ohio location of Money Concepts, providing individuals with investment and planning strategies.

Anna has a bachelor’s degree in accounting from Wright State University.

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.

The advisor shows no other business activity.

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

September 28, 2021 - February 14, 2025

MARINER WEALTH

RIA

CRD#: 140195

WEST CHESTER, OH

Past

September 27, 2021 - December 18, 2024

MSEC, LLC

CRD#: 154327

West Chester, OH

Past

February 16, 2006 - May 8, 2007

RNA CAPITAL, INC.

CRD#: 107803

CHARLOTTE, NC

Past

September 30, 2005 - September 24, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

WEST CHESTER, OH

Past

June 12, 2001 - December 23, 2021

PINNACLE WEALTH MANAGEMENT, INC.

RIA

CRD#: 121065

WEST CHESTER, OH

Past

October 4, 2000 - October 4, 2005

CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953

COLUMBUS, OH

Past

May 18, 2000 - October 5, 2000

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

May 11, 1995 - May 15, 2000

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Past

June 1, 1992 - September 13, 1993

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

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: 11/15/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/12/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2003

General Securities Principal Examination

Current Firm

MARINER WEALTH

CRD#: 140195 / SEC#: 801-66632

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Anna C. Barton

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSEC, LLC

RNA CAPITAL, INC.

SECURITIES AMERICA, INC.

PINNACLE WEALTH MANAGEMENT, INC.

CAP PRO BROKERAGE SERVICES, INC.

VERAVEST INVESTMENTS, INC.

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2000

Series 63

Date: 6/30/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/14/2000

Series 6

Date: 5/12/1992

Series 24

Date: 4/17/2003

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

Similar Advisors