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Raymond Carl Prospero

Mariner Independent

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About Raymond Carl Prospero

Raymond Carl Prospero is a financial advisor with Mariner Independent. Raymond has been in the industry since December 2010 and is licensed to provide advisory services in California and Texas. Raymond has experience providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations. Raymond holds a Series 66, Series 7, and SIE licenses. Raymond has also earned the Chartered Financial Consultant designation.

Firm Information

Raymond Prospero is currently registered with Mariner Independent. Mariner Independent is a financial advisor based in Overland Park, KS. With over 80 investment advisor representatives, the firm manages $4.35 billion in assets for individuals, corporations, and institutions. They provide financial planning, portfolio management, and pension consulting services.
Mariner Independent

5700 WEST 112TH STREET

OVERLAND PARK, KS 66211

$4.35B

Assets Under Management

41

Total Clients

79

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Raymond Prospero’s Registration & Firm History

CA

03/07/2022 - Present

Mariner Independent (Riverside CA)

CA

12/22/2010 - 05/15/2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIVERSIDE CA)

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Licenses & Designations

BOTH

Issued 01/14/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/21/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 3 public disclosures for Raymond Carl Prospero. Review regulatory record here.
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