SG
Steven L. Glasberg
MARINER ADVISOR NETWORK
Westlake, CA 91362
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CRD#: 1599763
SG
Professional summary
Steven L Glasberg, who also goes by Steven Lee Glasberg, is a registered financial advisor currently at MARINER ADVISOR NETWORK located in Westlake, California and LPL FINANCIAL LLC located in Westlake Village, California.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Lee Glasberg
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.
(1) 09/30/2015: Westlake Financial Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start 09/2015 - 100% Time Spent (2) 09/16/2016: Westlake Financial Management - DBA for LPL Business (entity for LPL business) - Investment Related - 4035 E. Thousand Oaks Blvd. Suite 230, Westlake Village, CA. 91362 - Start 10/01/2015 - 5 Hr/Mo; 1 Hour(s) During Securities Trading. (3) 05/20/2023 - Mariner Independent Advisor Network - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/31/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Mariner Independent Advisor Network LLC an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial
CRS (Client Relationship Summary) - RIA
Click below to view Steven L Glasberg's 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®
NoneExperience
Current
July 6, 2016 - Present
MARINER ADVISOR NETWORK
Office #1: 3625 E. Thousand Oaks Blvd., Suite 208, Westlake, CA 91362RIA
CRD#: 283824
Westlake, CA
Current
September 30, 2015 - Present
LPL FINANCIAL LLC
Office #1: 3625 E Thousand Oaks Blvd Ste 208, Westlake Village, CA 91362RIA
BD
CRD#: 6413
WESTLAKE VILLAGE, CA
Past
October 5, 2015 - July 6, 2016
STRATEGIC WEALTH ADVISORS GROUP
RIA
CRD#: 140977
Westlake Village, CA
Past
November 25, 2013 - October 1, 2015
D.A. DAVIDSON & CO.
RIA
CRD#: 199
WESTLAKE VILLAGE, CA
Past
November 25, 2013 - October 1, 2015
D.A. DAVIDSON & CO.
BD
CRD#: 199
WESTLAKE VILLAGE, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
RIA
CRD#: 168622
WESTLAKE VILLAGE, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
BD
CRD#: 168622
WESTLAKE VILLAGE, CA
Past
July 20, 2009 - November 4, 2013
CROWELL, WEEDON & CO.
RIA
CRD#: 193
WESTLAKE VILLAGE, CA
Past
July 20, 2009 - November 4, 2013
CROWELL, WEEDON & CO.
BD
CRD#: 193
WESTLAKE VILLAGE, CA
Past
June 1, 2009 - July 22, 2009
MORGAN STANLEY
RIA
CRD#: 149777
THOUSAND OAKS, CA
Past
June 1, 2009 - July 22, 2009
MORGAN STANLEY
BD
CRD#: 149777
THOUSAND OAKS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
THOUSAND OAKS, CA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
THOUSAND OAKS, CA
Past
January 28, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
THOUSAND OAKS, CA
Past
January 28, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
THOUSAND OAKS, CA
Past
July 1, 2003 - January 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WESTLAKE VILLAGE, CA
Past
July 1, 2003 - January 31, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
WESTLAKE VILLAGE, CA
Past
July 23, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 9, 1987 - August 11, 1993
CAL STATE SECURITIES CORP.
BD
CRD#: 13781
LOS ANGELES, CA
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".
MA
MARINER ADVISOR NETWORK
AERO CAPITAL | ZION CAPITAL WEALTH MANAGEMENT | ZION CAPITAL | YERBA BUENA FINANCIAL PARTNERS, LLC | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT, INC. | WEST CAPITAL WEALTH MANAGEMENT | WEALTH VISION ADVISORS | WATERSHED WEALTH MANAGEMENT | WATCH HILL FINANCIAL, INC | WARNER WEALTH STRATEGIES | VIREN AND ASSOCIATES, INC. | VAN KESTEREN CAPITAL MANAGEMENT | UNIQUE PLANNING | UNIFIED WEALTH ADVISORS | THE FINANCIAL SERVICES NETWORK | STRATOS WEALTH PARTNERS | STRATEGIC WEALTH ADVISORS GROUP, LLC | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STRATEGIC DIVORCE SOLUTIONS, INC. | STRATEFIC WEALTH ADVISORS GROUP, LLC | STONEBRIDGE GLOBAL INVESTMENTS | STEPHENSON COMPANY, THE | STANFORD FEDERAL CREDIT UNION | SPRAGUE WEALTH SOLUTIONS, LLC | SONOMA COUNTY WEALTH ADVISORS | SLANKSTER FINANCIAL | SIMPLIFIED WEALTH MANAGEMENT INC. | SAXE CAPITAL | SAIL FINANCIAL | ROCCO & ASSOCIATES WEALTH MANAGEMENT, INC. | RFS WEALTH ADVISORS | RETIREMENT WEALTH ADVISORS, INC. | RED TOWER ADVISORS | RASMUSSEN ADVISORS | RAHN WEALTH MANAGEMENT, LLC | PUTNAM AND MAIN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS, LLC | PROVIDENCE WEALTH PLANNING, INC. | POTENTIA, INC | POTENTIA WEALTH | PARAGON FINANCIAL PLANNING | OSTDIEK FINANCIAL AND INSURANCE | OAK WEALTH MANAGEMENT, LLC | OAK TREE WEALTH MANAGEMENT | NURTURED WEALTH | NAPOLI WEALTH MANAGEMENT | MULTIGEN WEALTH SERVICES, INC. | MOSHER FINANCIAL GROUP | MISSE WEALTH MANAGEMENT | MILLS WEALTH MANAGEMENT GROUP | MERCER PARTNERS WEALTH MANAGEMENT | MCCURDY FINANCIAL SERVICES | MCCREA ALLEN | MASTER PLAN ADVISORY, INC. | MARSHALL WEALTH MANAGEMENT GROUP | MARINER INDEPENDENT ADVISOR NETWORK, LLC | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | MARC RHEINGOLD & ASSOCIATES, INC. | MACLISE GROOMS WEALTH MANAGEMENT, LLC | MACKESON ADVISORY | LIGHTHOUSE STRATEGIC ADVISORS, LLC | LEXINGTON WEALTH ADVISORS | LEGACY WEALTH PLANNING, LLC | LAURUS FINANCIAL GROUP | KLEIN INVESTMENT STRATEGIES | JSO PARTNERS | JP WEALTH MANAGEMENT | JBT FINANCIAL, LLC | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | INTEGRATED WEALTH MANAGEMENT | IMD FINANCIAL, LLC | IDEAL FINANCIAL ADVISORS LLC | I.D.E.A.L. FINANCIAL SERVICES | HUMANITY WEALTH ADVISORS | HORG WEALTH MANAGEMENT | HICKS FINANCIAL SERVICES, LLC | HAPPINESS WEALTH MANAGEMENT | GROOMS WEALTH MANAGEMENT, LLC | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES, LLC | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | EXECUTIVE WEALTH STRATEGIES | EQUITY DEVELOPMENT CORPORATION | EQ PRIVATE WEALTH ADVISORS | ENRICH360 WEALTH ADVISORS | ECS CAPITAL INVESTMENTS | DIME AND ASSOCIATES | DILDAY AND ASSOCIATES | DIETZ NEXTSTAGE FINANCIAL MANAGEMENT | DIAMOND GROUP WEALTH ADVISORS, THE | DALE Q. RICE INVESTMENT MANAGEMENT, LTD. | CYPRESS PRIVATE WEALTH | CROW CANYON INVESTMENTS AND FINANCIAL PLANNING | COVENANT WEALTH ADVISORS | COMMON SENSONOMICS WEALTH MANAGEMENT | COLUMBIA ADVISORY PARTNERS, LLC | COLORADO WEST INVESTMENTS, INC. | CLEARLIFE WEALTH MANAGEMENT | CLEAR VISION FINANCIAL ADVISORS | CLARITY FINANCIAL PLANNING, INC. | CAPLAN CAPITAL MANAGEMENT | CAPITAL FINANCIAL SERVICES | CAMINO ADVISORS | CAMBER WEALTH | CALIFORNIA PRIVATE WEALTH | BROWN FINANCIAL SERVICES GROUP OF TEXAS, INC. | BROWN FINANCIAL SERVICES GROUP | BROOKS WEALTH MANAGEMENT | BRIGHT WEALTH PLANNING | BLACK STONE FINANCIAL, INC. | BIG TREES WEALTH MANGEMENT | BERL FINANCIAL SERVICES | BAKER WEALTH MANAGEMENT | AWA WEALTH MANAGEMENT, LLC | ASCEND INTEGRATED WEALTH | ARAKELIAN WEALTH MANAGEMENT | AQUARIUS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS, INC. | ALNA WEALTH MANAGEMENT | ALADINO FINANCIAL SERVICES | AFFINITY WEALTH PLANNING
CRD#: 283824 / SEC#: 801-107913
RIA
Registered Investment Advisory firm - (6/8/2016 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/30/2015)
RR
California(9/30/2015)
IAR
California(7/6/2016)
RR
Colorado(9/30/2015)
RR
Florida(9/30/2015)
RR
Nevada(9/30/2015)
RR
Oregon(4/23/2024)
IAR
Texas(7/6/2016)
RR
Washington(9/30/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MARINER ADVISOR NETWORK
AERO CAPITAL | ZION CAPITAL WEALTH MANAGEMENT | ZION CAPITAL | YERBA BUENA FINANCIAL PARTNERS, LLC | WESTLAKE FINANCIAL MANAGEMENT | WESTERN WEALTH MANAGEMENT, INC. | WEST CAPITAL WEALTH MANAGEMENT | WEALTH VISION ADVISORS | WATERSHED WEALTH MANAGEMENT | WATCH HILL FINANCIAL, INC | WARNER WEALTH STRATEGIES | VIREN AND ASSOCIATES, INC. | VAN KESTEREN CAPITAL MANAGEMENT | UNIQUE PLANNING | UNIFIED WEALTH ADVISORS | THE FINANCIAL SERVICES NETWORK | STRATOS WEALTH PARTNERS | STRATEGIC WEALTH ADVISORS GROUP, LLC | STRATEGIC WEALTH ADVISORS GROUP, INC. | STRATEGIC WEALTH ADVISORS GROUP | STRATEGIC DIVORCE SOLUTIONS, INC. | STRATEFIC WEALTH ADVISORS GROUP, LLC | STONEBRIDGE GLOBAL INVESTMENTS | STEPHENSON COMPANY, THE | STANFORD FEDERAL CREDIT UNION | SPRAGUE WEALTH SOLUTIONS, LLC | SONOMA COUNTY WEALTH ADVISORS | SLANKSTER FINANCIAL | SIMPLIFIED WEALTH MANAGEMENT INC. | SAXE CAPITAL | SAIL FINANCIAL | ROCCO & ASSOCIATES WEALTH MANAGEMENT, INC. | RFS WEALTH ADVISORS | RETIREMENT WEALTH ADVISORS, INC. | RED TOWER ADVISORS | RASMUSSEN ADVISORS | RAHN WEALTH MANAGEMENT, LLC | PUTNAM AND MAIN WEALTH MANAGEMENT | PURPOSE FINANCIAL ADVISORS, LLC | PROVIDENCE WEALTH PLANNING, INC. | POTENTIA, INC | POTENTIA WEALTH | PARAGON FINANCIAL PLANNING | OSTDIEK FINANCIAL AND INSURANCE | OAK WEALTH MANAGEMENT, LLC | OAK TREE WEALTH MANAGEMENT | NURTURED WEALTH | NAPOLI WEALTH MANAGEMENT | MULTIGEN WEALTH SERVICES, INC. | MOSHER FINANCIAL GROUP | MISSE WEALTH MANAGEMENT | MILLS WEALTH MANAGEMENT GROUP | MERCER PARTNERS WEALTH MANAGEMENT | MCCURDY FINANCIAL SERVICES | MCCREA ALLEN | MASTER PLAN ADVISORY, INC. | MARSHALL WEALTH MANAGEMENT GROUP | MARINER INDEPENDENT ADVISOR NETWORK, LLC | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | MARC RHEINGOLD & ASSOCIATES, INC. | MACLISE GROOMS WEALTH MANAGEMENT, LLC | MACKESON ADVISORY | LIGHTHOUSE STRATEGIC ADVISORS, LLC | LEXINGTON WEALTH ADVISORS | LEGACY WEALTH PLANNING, LLC | LAURUS FINANCIAL GROUP | KLEIN INVESTMENT STRATEGIES | JSO PARTNERS | JP WEALTH MANAGEMENT | JBT FINANCIAL, LLC | INTEGRITY FINANCIAL SERVICES | INTEGRITY CAPITAL WEALTH MANAGEMENT, LLC | INTEGRATED WEALTH MANAGEMENT | IMD FINANCIAL, LLC | IDEAL FINANCIAL ADVISORS LLC | I.D.E.A.L. FINANCIAL SERVICES | HUMANITY WEALTH ADVISORS | HORG WEALTH MANAGEMENT | HICKS FINANCIAL SERVICES, LLC | HAPPINESS WEALTH MANAGEMENT | GROOMS WEALTH MANAGEMENT, LLC | GIORDANO WEALTH MANAGEMENT GROUP, LLC | FRANK DEPTOLA AND ASSOCIATES, LLC | FORONJY FINANCIAL | FISKE FINANCIAL STRATEGIES | EXECUTIVE WEALTH STRATEGIES | EQUITY DEVELOPMENT CORPORATION | EQ PRIVATE WEALTH ADVISORS | ENRICH360 WEALTH ADVISORS | ECS CAPITAL INVESTMENTS | DIME AND ASSOCIATES | DILDAY AND ASSOCIATES | DIETZ NEXTSTAGE FINANCIAL MANAGEMENT | DIAMOND GROUP WEALTH ADVISORS, THE | DALE Q. RICE INVESTMENT MANAGEMENT, LTD. | CYPRESS PRIVATE WEALTH | CROW CANYON INVESTMENTS AND FINANCIAL PLANNING | COVENANT WEALTH ADVISORS | COMMON SENSONOMICS WEALTH MANAGEMENT | COLUMBIA ADVISORY PARTNERS, LLC | COLORADO WEST INVESTMENTS, INC. | CLEARLIFE WEALTH MANAGEMENT | CLEAR VISION FINANCIAL ADVISORS | CLARITY FINANCIAL PLANNING, INC. | CAPLAN CAPITAL MANAGEMENT | CAPITAL FINANCIAL SERVICES | CAMINO ADVISORS | CAMBER WEALTH | CALIFORNIA PRIVATE WEALTH | BROWN FINANCIAL SERVICES GROUP OF TEXAS, INC. | BROWN FINANCIAL SERVICES GROUP | BROOKS WEALTH MANAGEMENT | BRIGHT WEALTH PLANNING | BLACK STONE FINANCIAL, INC. | BIG TREES WEALTH MANGEMENT | BERL FINANCIAL SERVICES | BAKER WEALTH MANAGEMENT | AWA WEALTH MANAGEMENT, LLC | ASCEND INTEGRATED WEALTH | ARAKELIAN WEALTH MANAGEMENT | AQUARIUS WEALTH MANAGEMENT, LLC | ANACORTES FINANCIAL ASSOCIATES | AMERICAN FINANCIAL ADVISORS, INC. | ALNA WEALTH MANAGEMENT | ALADINO FINANCIAL SERVICES | AFFINITY WEALTH PLANNING
CRD#: 283824 / SEC#: 801-107913
RIA
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Contact information
Main Address
5700 W 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
177
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,221 |
| AUM (Assets Under Management) | $ 8,486,309,662 |
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
MARINER ADVISOR NETWORK
CRD#: 283824Westlake, CA 91362TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
