Kevin M. Peterson
MARINER INDEPENDENT
Annapolis, MD 21401-3686
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CRD#: 5835662
Professional summary
Kevin M Peterson, CFP® is a registered financial advisor currently at MARINER INDEPENDENT located in Annapolis, Maryland.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Kevin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. AP Holdings, LLC., Start Date: 06/26/2015, 888 Bestgate Rd., Ste. 419, Annapolis, MD 21401, LLC, Investment Holding Company, Member, AP Holdings is a holding company for real estate and other investments. Investments include 201 Richard LLC, New Berlin Two LLC, 2047 Park LLC, 1361 Links LLC, 9716 Riverside LLC, UGP LBS LLC, and 125 Bowery St, Frostburg, MD, Investment Related, 5 Hours per month, 0 Hours per day during trading hours. 2. Broadneck High School, Start Date: 08/01/2015, 1265 Green Holly Dr., Annapolis, MD 21409, Government, Public School, Coach, Coach Golf team at Broadneck High School, Not Investment Related, 30 Hours per month, 2 Hours per day during trading hours. 3. Independent Insurance Agent, Start Date: 08/15/2022, 888 S. Harrison St. Ste. 900, Fort Wayne, IN 46802, Corporation, Insurance Agency, Agent, Ash Brokerage will be General Agent to provide insurance products to clients, I will be recommending insurance products to clients as needed, Not Investment Related, 20 Hours per month, 1 Hour per day during trading hours. 4. Connect Wealth; investment-related; Annapolis, MD; offering investment advisory services through Mariner Platform Solutions; Advisor; start date: 03/2024; 160 hrs/month during securities trading hours Watershed Title, LLC; Not investment related, Annapolis, MD, Agent, Start date: 7/1/2022, 1 hour per month, 1 hour during trading hours. Refer business to title company
CRS (Client Relationship Summary) - RIA
Click below to view Kevin M Peterson'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®
CFP®
Start date: 2017
Experience
Current
March 20, 2024 - Present
MARINER INDEPENDENT
Office #1: 1906 Towne Centre Blvd Suite 375, Bldg #4, Annapolis, MD 21401-3686RIA
CRD#: 305418
Annapolis, MD
Past
March 13, 2024 - March 14, 2024
MARINER INDEPENDENT
RIA
CRD#: 305418
Annapolis, MD
Past
September 15, 2022 - March 13, 2024
MUTUAL ADVISORS, LLC
RIA
CRD#: 167658
Annapolis, MD
Past
August 15, 2022 - August 24, 2022
MUTUAL ADVISORS, LLC
RIA
CRD#: 167658
Annapolis, MD
Past
February 3, 2011 - August 30, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
LINTHICUM HEIGHTS, MD
Past
December 9, 2010 - August 30, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
LINTHICUM HEIGHTS, MD
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
Maryland(3/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MARINER INDEPENDENT
CRD#: 305418Annapolis, MD 21401-3686TRUST BUT VERIFY
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