Sean M. Ostrom

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CRD#: 7257467

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.

Sean Michael Ostrom, CFP® was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2020. Sean had worked at 3 firms and has passed the Series 65 exam.

Biography

Sean began with EP Wealth Advisors in 2020 and is a Senior Financial Planner in our Torrance office. Sean recognizes that each client has a unique financial picture and is honored by the opportunity to serve and assist clients to achieve their lifelong financial goals. Sean strives to bring peace of mind and satisfaction to his clients lives through ongoing, comprehensive financial planning and has found that evaluating financial planning solutions early and often can have a profound impact on our clients’ lives.

Sean is a graduate of University of California, Los Angeles, earning the B.A. in Political Science. He acquired the CERTIFIED FINANCIAL PLANNER™ designation in 2022.

A lifelong resident of the South Bay, Sean enjoys exercising, taking his Labrador Retriever on hikes, and following the Lakers, Dodgers, and Rams.

Question & Answer

Are you a "fiduciary"?

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.

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

Experience

Past

July 15, 2025 - January 12, 2026

MARINER WEALTH

RIA

CRD#: 140195

El Segundo, CA

Past

April 18, 2024 - July 28, 2025

EP WEALTH ADVISORS

RIA

CRD#: 111147

TORRANCE, CA

Past

June 2, 2020 - November 23, 2020

HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 107510

TORRANCE, CA

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: 7/3/2019

Uniform Investment Adviser Law 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

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Sean M. Ostrom

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MARINER WEALTH

EP WEALTH ADVISORS

HARRIS FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/2019

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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