Regent Private Wealth — Tulsa, OK
Marketing BrandWe are here to help you navigate your unique financial journey, offering custom-tailored solutions that go beyond traditional financial planning. Operating under MARINER INDEPENDENT (CRD #305418).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Regent Private Wealth,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is MARINER INDEPENDENT. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
MARINER INDEPENDENT
CRD 305418 · IA
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Regent Private Wealth — it reflects the regulatory profile of MARINER INDEPENDENT.
What This Means
The firm behind this brand has strong transparency practices. Their regulatory filings show comprehensive disclosure across fees, conflicts, and services.
This places them in the 22th percentile of all scored firms.
This firm's regulatory filings show comprehensive disclosure. The full firm profile has the details.
See full score breakdownRegulatory Context
Regulatory oversight is under MARINER INDEPENDENT
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
2 of 129 firm advisors use this brand
MARINER INDEPENDENT has 129 total registered advisors. 2 operate under the Regent Private Wealth brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(2)
These advisors use the Regent Private Wealth brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.