CEFEX Certification

Retirement Plan Solutions Team Awarded CEFEX Certification

Centre for Fiduciary Excellence

We are pleased to share the news that Mariner Wealth Advisors’ retirement plan solutions team has once again received the Investment Advisor Certification from the Center for Fiduciary Excellence (CEFEX).

The team, previously known as Mariner Retirement Advisors, has achieved this certification for five years running after meeting the standards described in the handbook “Prudent Practices for Investment Advisors.”

The standard describes how an investment advisor assumes the responsibility for managing a client’s overall investment management process, which includes the selection, monitoring and de-selection of investment managers, as well as developing processes to implement investment strategies and fiduciary practices on an ongoing basis. These practices also include maintaining a fiduciary checklist for each of our retirement plan clients to ensure proper fiduciary governance and compliance with ERISA and implementing best practices as described by the Department of Labor. The independent CEFEX Investment Advisor certification demonstrates fiduciary responsibility at the firm, based on a best-practice standard.

 

 

Mariner, LLC dba Mariner Wealth Advisors (“MWA”), is an SEC registered investment adviser. Registration of an investment adviser does not imply a certain level of skill or training. MWA is in compliance with the current notice filing requirements imposed upon registered investment advisers by those states in which MWA maintains clients. MWA may only transact business in those states in which it is notice filed, or qualifies for an exemption or exclusion from notice filing requirements. Any subsequent, direct communication by MWA with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For additional information about MWA, including fees and services, please contact MWA or refer to the Investment Adviser Public Disclosure website. Please read the disclosure statement carefully before you invest or send money.

Securities offered through MSEC, LLC, Member FINRA & SIPC, 5700 W. 112th Suite 500, Overland Park, KS 66211.

Meet the Retirement Team

Meet the Team