Thomas W. Hosier

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CRD#: 4570876

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.

Thomas William Hosier, who also goes by Tom Hosier, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 3 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Hosier

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. BERGER, ELLIOT & PRITCHARD;, OMAHA, NE; TAX MANAGER; ACCOUNTING, TAX & BUSINESS CONSULTING; START-01/19; 160 HRS/MONTH. 2. BHE FINANCIAL SERVICES LLC; OMAHA; INVESTMENT ADVISOR REP; CONSULT & RECOMMEND TO CLIENTS REGARDING FINANCIAL PLANNING & INVESTMENTS; START-10/1999; 10-15 HRS/MONTH. 3. BHE FINANCIAL SERVICES LLC; OMAHA, NE; INSURANCE AGENT; CONSULT REGARDING CURRENT INSURANCE & FUTURE NEEDS & COSTS; START-10/1999; 3 HRS/MONTH. 4. MASONIC YOUTH FOUNDATION OF NEBRASKA; 202 S 20TH ST, OMAHA, NE 68102; BOARD MEMBER; TO RAISE FUNDS FOR YOUTH DEVELOPMENT PROGRAMS; START-1992; 2-4 HRS/MONTH. MARY ANN BEAVERS FAMILY TRUST POSITION: Co-Trustee NATURE: Family Trust INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/03/2011 ADDRESS: 6418 Country Squire Lane, Omaha NE 68152, United States DESCRIPTION: Co Trustee of Family trust

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

January 18, 2018 - June 30, 2022

MARINER WEALTH

RIA

CRD#: 289886

OVERLAND PARK, KS

Past

December 19, 2012 - December 7, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

OMAHA, NE

Past

January 1, 2002 - November 10, 2017

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

OMAHA, NE

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

MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL

CRD#: 289886 / SEC#: 801-111823

RIA

Registered Investment Advisory firm - (10/6/2017 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

Series 63

Date: 1/21/2013

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/20/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2012

General Securities Representative Examination

Current Firm

MARINER WEALTH

MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL

CRD#: 289886 / SEC#: 801-111823

RIA

Registered Investment Advisory firm - (10/6/2017 Approved)

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Contact information

Main Address

5700 W. 112th St Suite 500, Overland Park, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MWA-IC FORM ADV PART 2A (3/28/2025)

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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Firm Stability Insights

Thomas W. Hosier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARINER WEALTH

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AVANTAX PLANNING PARTNERS, INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 1/21/2013

Series 66

Date: 12/20/1999

SIE

Date: 12/7/2017

Series 7

Date: 12/18/2012

Current Firm

MARINER WEALTH

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MARINER WEALTH

TRUST BUT VERIFY

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