AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MB

Michael P. Borgatti

Some features on this profile are disabled
CRD#: 2539687
MB

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.

Michael Paul Borgatti, who also goes by Mike Borgatti, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Biography

My experience as a former professional baseball player has ingrained in me a “team” approach that I carry through to my relationships with my clients. This unique combination of professional athletics and financial services experience enables me to translate financial planning strategies into road maps and processes to help meet both personal and financial goals. My mission is to use a team approach to educate and implement these strategies to help clients achieve their financial and personal goals. Away from work I enjoy playing golf, traveling, fishing and hunting.
top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Borgatti

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

Education

Tulane University

Experience

Past

November 1, 2023 - October 7, 2025

MARINER WEALTH

RIA
CRD#: 140195
Metairie, LA
Past

April 9, 2021 - November 21, 2023

EDELMAN FINANCIAL ENGINES

RIA
CRD#: 104510
METAIRIE, LA
Past

March 2, 2010 - June 6, 2017

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

January 15, 2010 - February 22, 2010

TNP SECURITIES, LLC

BD
CRD#: 149178
COSTA MESA, CA
Past

December 8, 1999 - January 14, 2010

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

October 24, 1996 - November 12, 1999

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 20, 1996 - December 12, 1996

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY

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".
MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/9/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/5/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/19/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MARINER WEALTH
ADVICEPERIOD | MARINER, LLC | MARINER WEALTH ADVISORS, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER ULTRA | MARINER INSTITUTIONAL CONSULTING, LLC | MARINER INSTITUTIONAL | MARINER | KUMMER FINANCIAL STRATEGIES

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts155,767
AUM (Assets Under Management)$ 98,603,233,201

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

MARINER WEALTH

Director, Financial PlanningCRD#: 140195

TRUST BUT VERIFY

Monitor Michael Borgatti

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics