Peter G. Scott

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CRD#: 4414685

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.

Peter Gorham Scott, AIF®, CIMA® was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2001. Peter had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Biography

Peter provides customized wealth management solutions based on the needs and objectives of each client. Prior to joining Mariner Wealth Advisors, Pete was the director of financial services at Foundations Wealth Management where he provided financial and strategic guidance to clients regarding asset allocation and investment management and retirement plans. Before joining Foundations Wealth Management, Pete has held the roles of institutional trust administrator, assistant vice president of private banking and vice president and trust officer.

Peter holds a bachelor’s degree in business administration from Augustana College and is also an honors graduate from the Cannon Financial Institute’s Cannon Trust School.

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.

GORHAM, LLC POSITION: MEMBER NATURE: PROPERTY MANAGEMENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: Sioux Falls SD , United States DESCRIPTION: WE WILL BE RESPONSIBLE FOR MANAGING THE PROPERTY. THIS WILL INCLUDE FINDING RENTERS AS NEEDED, FIXING ITEMS AS NEEDED TO KEEP THE PROPERTY IN TOP SHAPE AND ANY OTHER ITEMS NECESSARY TO RUN THE PROPERTY PROPERLY. CURRENTLY NO INVESTMENT PROPERTY TO MANAGE. SIOUX FALLS ESTATE PLANNING COUNCIL, NOT INVESTMENT-RELATED, SIOUX FALLS, SD, BOARD MEMBER, START DATE 5/27/2021, 1 HR PER MONTH, 1 HR DURING TRADING HRS, ASSIST THE BOARD. Prym, LLC; not securities related, Sioux Falls, SD, Real Estate, President, Start Date: 7/10/2023, 2 hours per month, 0 hours during trading hours, Help to manage real estate owned by the entity

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®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Past

March 15, 2019 - September 9, 2024

MARINER WEALTH

RIA

CRD#: 140195

SIOUX FALLS, SD

Past

February 27, 2014 - March 12, 2019

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

SIOUX FALLS, SD

Past

February 25, 2014 - March 12, 2019

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

SIOUX FALLS, SD

Past

July 30, 2009 - June 28, 2011

SPECTRUM CAPITAL, LLC

RIA

CRD#: 28303

SIOUX FALLS, SD

Past

July 29, 2009 - June 28, 2011

SPECTRUM CAPITAL, LLC

CRD#: 28303

SIOUX FALLS, SD

Past

August 7, 2007 - December 31, 2007

SPECTRUM CAPITAL, LLC

RIA

CRD#: 28303

SIOUX FALLS, SD

Past

June 20, 2003 - December 31, 2007

SPECTRUM CAPITAL, LLC

CRD#: 28303

SIOUX FALLS, SD

Past

July 16, 2001 - December 3, 2002

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, 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".

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: 2/25/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/9/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/2001

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: 7/13/2001

General Securities 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Peter G. Scott

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

SPECTRUM CAPITAL, LLC

SPECTRUM CAPITAL, LLC

SPECTRUM CAPITAL, LLC

SPECTRUM CAPITAL, LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2014

Series 65

Date: 1/9/2006

Series 63

Date: 8/9/2001

SIE

Date: 10/1/2018

Series 7

Date: 7/13/2001

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

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