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CRD#: 154327
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

MSEC, LLC is located at 5700 W 112th Street Suite 500, Overland Park, KS 66211 and was first established at Kansas City, Delaware in 05/13/2010. After operating for 15 years, MSEC, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of MSEC, LLC’s clients are individuals and 0% of their clients are high net worth individuals. MSEC, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at MSEC, LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access MSEC, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at MSEC, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for MSEC, LLC Comes From

Understanding the Statistics for MSEC, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Firm Size
Small
Phone Number
(913) 904-5700
Established
Delaware since 05/13/2010
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
MARINER WEALTH ADVISORS, LLCMEMBER
DORIAN, ANNE JENELLEPRESIDENT5736231
ERSKINE, ANN TERESACHIEF COMPLIANCE OFFICER5071135
STEIGHNER, KAREN ANNPFO/POO/FINOP1100675

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Advisor's working at MSEC, LLC

Alisa Anne Roth

Alisa Anne Roth

Alisa Anne Fishel
IAR
RR
CRD#: 2153484
Location:
Overland Park, KS 66211
Company:
MARINER WEALTH
Disclosures:
Experience:
34 years
View Profile
Douglas Kay Perry

Douglas Kay Perry

IAR
RR
CRD#: 2260883
Location:
Portland, OR 97223
Company:
MARINER WEALTH
Disclosures:
Experience:
33 years
View Profile
Robert Geroge Horton

Robert Geroge Horton

Bobby Horton, Robert G Horton, Robert George Horton
IAR
RR
CRD#: 5673325
CFP®: Certified Financial Planner
Location:
St. Louis, MO 63144
Company:
MARINER WEALTH
Disclosures:
Experience:
15 years
View Profile
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