Nina B. Arrigo

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CRD#: 729392

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.

Nina Barry Arrigo, who also goes by Nina Kathryn Barry, was a registered financial professional .

Nina is a previously registered financial professional and started their career in finance in 1981. Nina had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Nina builds and maintains client relationships by working as part of a wealth team that provides comprehensive wealth management plans to clients. She also serves as a daily contact for clients, assists with the team’s administrative needs and provides support on a variety of projects.

Prior to joining Mariner Wealth Advisors, Nina was vice president, relationship manager with Goldman Sachs. Before that, she was an associate client service manager at United Capital.

Nina has a bachelor’s degree in art history from Dickinson College.

Question & Answer

Are you a "fiduciary"?

Aliases

Nina Kathryn Barry

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

February 17, 2023 - June 12, 2025

MARINER WEALTH

RIA

CRD#: 140195

Fairfield, CT

Past

May 23, 2018 - March 1, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

WESTPORT, CT

Past

January 6, 2015 - December 31, 2017

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

WESTPORT, CT

Past

April 13, 1981 - August 23, 1995

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

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: 5/23/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2015

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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Nina B. Arrigo

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED CAPITAL FINANCIAL ADVISORS

SMH CAPITAL INVESTMENTS LLC

NEUBERGER BERMAN BD LLC

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2018

SIE

Date: 12/31/2017

Series 7

Date: 1/6/2015

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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