JH
John Han
MARINER INDEPENDENT
Campbell, CA 95008
Some features on this profile are disabled
CRD#: 4388526
JH
Professional summary
John Han, who also goes by John Quoc Han, is a registered financial advisor currently at MARINER INDEPENDENT located in Campbell, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 10 firms and has passed the Series 65, Series 66, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Quoc Han
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.
1. I AM AN INSURANCE AGENT, LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. I MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS. 2. Foothill Wealth Advisors; Campbell, CA; Founder; offering investment advisory services through Mariner Platform Solutions; start date: 10/2023; 160 hrs during securities trading hours 3. Santa Teresa High School; not investment-related; San Jose, CA; volleyball coach; start date: 03/2023; 10 hrs/month; 0 hrs during securities trading hours
CRS (Client Relationship Summary) - RIA
Click below to view John Han's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 13, 2023 - Present
MARINER INDEPENDENT
Office #1: 1999 S. Bascom Ave. Suite #736, Campbell, CA 95008RIA
CRD#: 305418
Campbell, CA
Past
July 18, 2014 - November 9, 2023
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
CAMPBELL, CA
Past
September 16, 2011 - July 21, 2014
BEACON POINTE WEALTH ADVISORS, LLC
RIA
CRD#: 151328
SAN JOSE, CA
Past
January 5, 2011 - October 31, 2011
EXCELCIA FINANCIAL GROUP, LTD.
RIA
CRD#: 154278
SAN JOSE, CA
Past
May 27, 2010 - December 3, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
SAN JOSE, CA
Past
May 27, 2010 - December 3, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
SAN JOSE, CA
Past
April 2, 2008 - May 25, 2010
EXCELCIA CAPITAL MANAGEMENT, LLC
RIA
CRD#: 146328
SAN JOSE, CA
Past
September 6, 2006 - April 29, 2010
AFA ADVISOR SERVICES LLC
RIA
CRD#: 129104
SAN JOSE, CA
Past
September 6, 2006 - April 29, 2010
AFA FINANCIAL GROUP, LLC
BD
CRD#: 127648
SAN JOSE, CA
Past
December 1, 2004 - October 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
SANTA CLARA , CA
Past
March 29, 2004 - October 20, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 29, 2004 - October 20, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 17, 2001 - October 14, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CAMPBELL, CA
Past
July 26, 2001 - October 14, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 26, 2001 - October 14, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
Registered Investment Advisory firm - (9/12/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(10/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
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Contact information
Main Address
5700 West 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,412 |
| AUM (Assets Under Management) | $ 5,615,227,678 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/05/2024 | ||
| 12/15/2023 |
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.
