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Thomas R. Mazza

PREMIER ESTATE PLANNERS
CLINTON TOWNSHIP, MI 48038
Some features on this profile are disabled
CRD#: 1091453
TM

Professional summary

Thomas Roy Mazza was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Prior to being barred, Thomas has worked at 8 firms, which includes SECURE ASSET MANAGEMENT L.L.C., EAST - WEST CAPITAL CORPORATION, TWC CAPITAL CORP., MARINER FINANCIAL SERVICES INC., IFG NETWORK SECURITIES INC., PLANNED INVESTMENTS INC., PFS INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Roy Mazza's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 1, 2011 - Present

PREMIER ESTATE PLANNERS, LLC

Office #1: 16950 19 Mile Road Suite 4, Clinton Township, MI 48038
RIA
CRD#: 122638
CLINTON TOWNSHIP, MI
Past

September 14, 2022 - May 14, 2025

SECURE ASSET MANAGEMENT, L.L.C.

RIA
CRD#: 144046
Clinton Twp, MI
Past

December 14, 1995 - March 5, 1997

EAST - WEST CAPITAL CORPORATION

BD
CRD#: 16348
Past

September 15, 1995 - December 5, 1995

TWC CAPITAL CORP.

BD
CRD#: 17981
NEW PALTZ, NY
Past

January 3, 1994 - September 1, 1995

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

January 4, 1993 - December 31, 1993

IFG NETWORK SECURITIES, INC.

BD
CRD#: 19948
ATLANTA, GA
Past

January 10, 1992 - December 31, 1992

PLANNED INVESTMENTS INC.

BD
CRD#: 5066
ATLANTA, GA
Past

July 28, 1983 - January 15, 1992

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PE
PREMIER ESTATE PLANNERS, LLC
PREMIER ESTATE PLANNERS | PREMIER ESTATE PLANNERS, LLC | PREMIER ESTATE PLANNERS RIA,LLC | PREMIER ESTATE PLANNERS RIA, LLC

CRD#: 122638 / SEC#: 801-68487

RIA
Registered Investment Advisory firm - (11/6/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Michigan
(12/1/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/21/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/2/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 7/11/1996
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/27/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/15/1988
Investment Company Products/Variable Contracts Principal Examination

Current Firm

PE
PREMIER ESTATE PLANNERS, LLC
PREMIER ESTATE PLANNERS | PREMIER ESTATE PLANNERS, LLC | PREMIER ESTATE PLANNERS RIA,LLC | PREMIER ESTATE PLANNERS RIA, LLC

CRD#: 122638 / SEC#: 801-68487

RIA
Registered Investment Advisory firm - (11/6/2007 Approved)
PREMIUM
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Contact information

Main Address
16950 19 Mile Rd Suite 4, Clinton Township, MI 48038
Mailing Address
Phone number
(586) 228-7772
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PREMIER ESTATE PLANNERS, LLC ADV BROCHURE (2/9/2026)

Regulatory assets under management

Total Number of Accounts896
AUM (Assets Under Management)$ 226,948,109

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PREMIER ESTATE PLANNERS, LLC

CRD#: 122638Clinton Township, MI 48038

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