Katherine B. Grote

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CRD#: 6378886

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.

Katherine Blake Grote, who also goes by Katherine Blake Murray, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2014. Katherine had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katherine Blake Murray

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®

None

Experience

Past

March 30, 2023 - March 25, 2024

MARINER WEALTH

RIA

CRD#: 140195

CHICAGO, IL

Past

April 25, 2022 - March 30, 2023

SPRING

RIA

CRD#: 277164

Winston Salem, NC

Past

November 10, 2016 - June 26, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

September 28, 2015 - June 26, 2019

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 3, 2014 - September 11, 2015

VANGUARD MARKETING CORPORATION

CRD#: 7452

CHARLOTTE, NC

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 65

Date: 11/10/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/2014

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: 9/2/2014

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.

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Firm Stability Insights

Katherine B. Grote

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPRING

LPL FINANCIAL LLC

LPL FINANCIAL LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 11/10/2016

Series 63

Date: 9/11/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2014

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

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