JM
Joshua A. Mazer
THURSTON SPRINGER ADVISORS
Annapolis, MD 21401
Some features on this profile are disabled
CRD#: 1609648
JM
Professional summary
Joshua Andrew Mazer, CFP® is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Annapolis, Maryland and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Annapolis, Maryland.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Joshua has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
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.
POWER OF ATTORNEY FOR FATHER; NOT INV. RELATED; BEACON, NY; START DATE 4/25/2015; 5 HRS PER MONTH; 0 HRS DURING TRADING. - TRUSTEE FOR FATHER (DECEASED), INV-RELATED, ANNAPOLIS, MD, START: 6/3/15, 5 HRS/MO, 0 DURING TRADING. -TRUSTEE FOR MOTHER, INV-RELATED, ANNAPOLIS, MD, TRUSTEE, START: 6/2015, 3 HRS/MO, 0 DURING TRADING. -TRUSTEE FOR TWO BROTHERS, INV-RELATED, ANNAPOLIS, MD, TRUSTEE, START: 6/2015, 3 HRS/MO, 0 DURING TRADING. PALACE PARTNERS LLC, INV RELATED, LARGO, MD, 10% OWNER, START: 5/2017, 0 HOURS, NO DUTIES. BOAT SLIP RENTAL PROPERTY, INVT RELATED, ANNAPOLIS, MD, 100% OWNERSHIP, START DATE 7/1/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING, OWNER OF BOAT SLIP VANTAGE WEALTH MANAGEMENT, INC, INVT RELATED, ANNAPOLIS, MD, 100% OWNERSHIP WITH SPOUSE, START DATE 1/1/2009, 160 HRS PER MONTH, 8 HRS DURING TRADING, FINET PRACTICE. MARYLAND STATE HOUSE OF DELEGATES AND STATE SENATE; NOT INV. RELATED; ANNAPOLIS, MD; REGISTERED LOBBYIST; START DATE 12/2019; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: EDUCATING STATE LEGISLATORS ABOUT RISKS AND BENEFITS OF HPV VACCINATION. VANTAGE WEALTH MANAGEMENT, INC; INVESTMENT RELATED; ANNAPOLIS,MD; 99% OWNERSHIP; START DATE 03/25/2020; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER OF FINET PRACTICE. Senior Policy Advisor, Department of Health and Human Services. Advise HHS Secretary Kennedy on US Gov't Policies under the Aegis of HHS. Will be a W-2 Employee working 80 hours a month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Andrew Mazer'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®
CFP®
Start date: 2009
Experience
Current
October 7, 2022 - Present
THURSTON SPRINGER ADVISORS
Office #1: 1997 Annapolis Exchange Parkway Annapolis Center, Ste. 300, Annapolis, MD 21401RIA
CRD#: 299201
Annapolis, MD
Current
October 7, 2022 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Office #1: 1997 Annapolis Exchange Parkway Annapolis Center, Ste. 300, Annapolis, MD 21401BD
CRD#: 8478
Annapolis, MD
Past
May 8, 2009 - October 31, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ANNAPOLIS, MD
Past
May 8, 2009 - October 31, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ANNAPOLIS, MD
Past
January 1, 2008 - May 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ANNAPOLIS, MD
Past
January 1, 2008 - May 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ANNAPOLIS, MD
Past
April 5, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ANNAPOLIS, MD
Past
April 5, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ANNAPOLIS, MD
Past
June 30, 2005 - April 7, 2006
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
DUNKIRK, MD
Past
June 27, 2005 - April 7, 2006
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
DUNKIRK, MD
Past
March 19, 2004 - June 30, 2005
TRUIST SECURITIES, INC.
RIA
CRD#: 6271
WASHINGTON, DC
Past
March 19, 2004 - June 30, 2005
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
November 8, 2000 - March 24, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ANNAPOLIS, MD
Past
October 20, 2000 - March 24, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 11, 1999 - October 19, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
April 23, 1991 - February 3, 1999
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
November 10, 1989 - April 12, 1991
MERIDIAN, DUNHILL & CO., INC.
BD
CRD#: 15294
Past
October 3, 1988 - November 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
March 5, 1987 - October 20, 1988
DERAND/PENNINGTON/BASS, INC.
BD
CRD#: 4679
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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 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
California(10/7/2022)
RR
Colorado(10/7/2022)
RR
District of Columbia(10/7/2022)
RR
Florida(10/7/2022)
RR
Georgia(11/7/2022)
RR
Maine(10/7/2022)
RR
Maryland(10/7/2022)
IAR
Maryland(10/7/2022)
RR
Massachusetts(10/11/2022)
RR
Missouri(10/7/2022)
RR
New Jersey(10/7/2022)
RR
New York(10/7/2022)
RR
North Carolina(10/17/2024)
RR
Oregon(10/27/2022)
RR
Pennsylvania(10/7/2022)
RR
Virginia(10/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/26/1999
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
