Kathleen M. Waterman

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CRD#: 4699752

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.

Kathleen Marie Waterman, CFP®, who also goes by Kathy Marie Waterman, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 2008. Kathleen had worked at 3 firms .

Biography

Kathy works with an advisory team to provide wealth management solutions to help meet the needs, goals and objectives of each client. She assists advisors with developing and delivering wealth planning and investment management solutions for clients. She has more than 17 years of experience in the financial services industry, much of which was spent working with CPA firm affiliates.

Prior to joining Mariner Wealth Advisors, Kathy was a senior staff planner for NVC Wealth, LLC in Omaha. Other past experience includes 12 years with an Iowa-based RIA firm and seven years in public accounting.

She holds a bachelor’s degree in accounting from Upper Iowa University. Kathy is a member of the Financial Planning Association (FPA) of Nebraska.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathy Marie Waterman

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.

Pine Knoll Homeowner's Association; Dubuque, IA; not investment-related; Vice President; start date: 7/2023; 1 hr/month during securities trading hours; Property oversight, quarterly meetings with other members

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

Experience

Past

February 5, 2018 - January 15, 2025

MARINER WEALTH

RIA

CRD#: 140195

OMAHA, NE

Past

September 12, 2017 - March 31, 2018

MARINER WEALTH ADVISORS

RIA

CRD#: 109904

OMAHA, NE

Past

August 27, 2008 - May 16, 2016

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

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.

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Exams

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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Kathleen M. Waterman

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARINER WEALTH

MARINER WEALTH ADVISORS

AVANTAX PLANNING PARTNERS, INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

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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