Thomas R. Mazza

PREMIER ESTATE PLANNERS

CLINTON TOWNSHIP, MI 48038

Some features on this profile are disabled

CRD#: 1091453

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.

Licensed Insurance Agent; Macomb Marketing LLC

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

CRD#: 16348

Past

September 15, 1995 - December 5, 1995

TWC CAPITAL CORP.

CRD#: 17981

NEW PALTZ, NY

Past

January 3, 1994 - September 1, 1995

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

January 4, 1993 - December 31, 1993

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

January 10, 1992 - December 31, 1992

PLANNED INVESTMENTS INC.

CRD#: 5066

ATLANTA, GA

Past

July 28, 1983 - January 15, 1992

PFS INVESTMENTS INC.

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".

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)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/21/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 7/11/1996

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 7/27/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/15/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PREMIER ESTATE PLANNERS, LLC ADV BROCHURE (6/10/2025)

Regulatory assets under management

Total Number of Accounts	898
AUM (Assets Under Management)	$ 203,459,882

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.

Similar Advisors

Jack Jerzewski

LPL ENTERPRISE, LLC

IAR

TROY, MI

Avery Marsh

PFS INVESTMENTS INC.

Troy, MI

John Lappin

PFS INVESTMENTS INC.

Troy, MI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas R. Mazza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

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.

Primary Firm SEC Registration

PREMIER ESTATE PLANNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/21/2011

Series 63

Date: 8/2/1983

Series 22

Date: 7/11/1996

Series 6

Date: 7/27/1983

Series 26

Date: 9/15/1988

Current Firm

PREMIER ESTATE PLANNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PREMIER ESTATE PLANNERS, LLC

TRUST BUT VERIFY

Similar Advisors