Role at Mariner
- Title on Schedule A
- Chief Risk Officer and CCO
- Control
- Anne Dorian is not a control person of Mariner.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Anne Dorian has held the filed role since July 2026.
The firm
Form ADV filed 5 August 2026
Career on record
Anne Dorian has been registered through Mariner since May 2018, and before that through Ascent Investment Partners, LLC, Montage Investments, LLC and LPL Financial LLC.
- Passed Series 52TO and Series 99TO · 2023
- Passed Series 24 · 2019
- Passed SIE · 2018
- Ascent Investment Partners, LLC– · 1 yearOverland Park, KS · Adviser representative · Firm CRD 152533
- Montage Investments, LLC– · 4 yearsLeawood, KS · Adviser representative · Firm CRD 152607
- LPL Financial LLC– · 1 yearPrairie Village, KS · Adviser representative · Firm CRD 6413
- Passed Series 7 and Series 66 · 2010
Registrations and exams
Anne Dorian has a current investment-adviser registration in Kansas and has passed 6 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Kansas | Investment adviser representative | Approved | 22 May 2018 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 24 May 2010 |
| Series 24 | General Securities Principal Examination | 17 May 2019 |
| Series 99TO | Operations Professional Examination | 15 June 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 10 May 2010 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Anne Jenelle Dorian
- CRD
- 5736231
- Firm
- Mariner, LLC
- Registration status
- Investment adviser and broker registrations
- Office
- 5700 W. 112TH STREET, SUITE 500, Overland Park, KS 66211
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Anne Dorian work?
Anne Dorian has been Chief Risk Officer and CCO of Mariner, LLC since July 2026.
Is Anne Dorian a financial advisor?
Yes. Anne Dorian has a current investment-adviser registration in Kansas, through Mariner since May 2018, as of 18 October 2026.
How many years of experience does Anne Dorian have?
Anne Dorian has worked in the financial industry for 16 years as of 18 October 2026, counted from 19 May 2010, across 4 adviser firms.
What exams has Anne Dorian passed?
Anne Dorian has passed 6 licensing exams: the Series 7, Series 66, SIE, Series 24, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in May 2010.
Where did Anne Dorian work before Mariner?
Before Mariner, Anne Dorian was registered through Ascent Investment Partners, LLC, January 2017 to December 2017; Montage Investments, LLC, June 2013 to January 2017; LPL Financial LLC, May 2010 to September 2011.
Where is Anne Dorian based?
Anne Dorian’s registered office is in Overland Park, KS.
Leadership at Mariner
- Martin BicknellChief Executive Officer
- Maureen Kiefer-GoldenbergSenior Vice President, Compliance
- Jeffrey PoeChief Financial Officer
- Cheryl BicknellChief Operating Officer
- Deann ElmoreChief Services Officer
- Bradley RollinsChief Investment Officer