Daniel C. Hauschild

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CRD#: 2973391

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.

Daniel Charles Hauschild JR, CFP®, who also goes by Dan Hauschild, Daniel Charles Hauschild, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Hauschild | Daniel Charles Hauschild

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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

August 12, 2025 - February 27, 2026

MARINER WEALTH

RIA

CRD#: 140195

McLean, VA

Past

August 30, 2023 - August 27, 2025

VALLEY WEALTH MANAGERS, INC.

RIA

CRD#: 108879

Wilmington, DE

Past

June 14, 2019 - August 29, 2023

VALLEY WEALTH MANAGERS, INC.

RIA

CRD#: 108879

Wilmington, DE

Past

September 2, 2016 - May 14, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

September 1, 2016 - May 14, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 12, 2009 - June 10, 2016

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEW YORK, NY

Past

October 12, 2009 - June 10, 2016

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

May 21, 2003 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

April 30, 2003 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 22, 2002 - January 24, 2003

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

February 11, 1998 - April 7, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, 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 66

Date: 5/20/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/21/2002

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: 4/29/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/21/2002

Investment Company Products/Variable Contracts Representative 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

Daniel C. Hauschild

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALLEY WEALTH MANAGERS, INC.

VALLEY WEALTH MANAGERS, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

KESTRA INVESTMENT SERVICES, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2003

Series 63

Date: 8/21/2002

SIE

Date: 10/1/2018

Series 7

Date: 4/29/2003

Series 6

Date: 8/21/2002

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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