Joshua L. Kendall

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CRD#: 6244923

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.

Joshua Luke Kendall, CFP®, who also goes by Luke Kendall, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2013. Joshua had worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Biography

Luke works with clients to develop personalized wealth management solutions that include tax planning, investment strategies and estate planning to help them achieve their goals.

Prior to joining Mariner Wealth Advisors, he was a senior private client advisor with Bank of the West working with high-net-worth clients. Prior to that, he was a wealth management advisor for TIAA, the associate vice president for Griffin Capital Securities, LLC and an internal wholesaler for Deutsche Asset Management.

Luke holds a bachelor’s degree from Mid-America Christian University and a certificate for financial planning from Pepperdine University.

Question & Answer

What are your service offerings?

Retirement Planning

Insurance Planning

Comprehensive Financial Planni...

Investment Planning

Tax Planning

Estate Planning

Are you a "fiduciary"?

Aliases

Luke Kendall

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.

The advisor shows no other business activity.

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

Start date: 2020

Experience

Past

December 7, 2021 - October 24, 2025

MARINER WEALTH

RIA

CRD#: 140195

Highlands Ranch, CO

Past

November 30, 2020 - December 3, 2021

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

GARDEN GROVE, CA

Past

November 23, 2020 - December 3, 2021

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

GARDEN GROVE, CA

Past

November 29, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

NEWPORT BEACH, CA

Past

October 30, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEWPORT BEACH, CA

Past

June 22, 2016 - October 17, 2017

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

IRVINE, CA

Past

June 18, 2015 - June 17, 2016

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

November 4, 2013 - June 3, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

BLOOMINGDALE, IL

Past

October 14, 2013 - June 3, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

BLOOMINGDALE, IL

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: 11/1/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/5/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/2013

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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Firm Stability Insights

Joshua L. Kendall

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

GRIFFIN CAPITAL SECURITIES, LLC

DWS DISTRIBUTORS, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2013

Series 7TO

Date: 3/5/2024

SIE

Date: 10/1/2018

Series 7

Date: 10/14/2013

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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