SS
Scott A. Sprague
MARINER ADVISOR NETWORK
Danville, CA 94526
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CRD#: 1890546
SS
Professional summary
Scott Alan Sprague, CFP®, ChFC®, CLU® is a registered financial advisor currently at MARINER ADVISOR NETWORK located in Danville, California and LPL FINANCIAL LLC located in Danville, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Scott has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
What is your minimum asset requirement?
250K
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.
1. 11/30/2016 - SPRAGUE WEALTH SOLUTIONS, LLC - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 8/1/2012 - 4 Hours Per Month/1 Hour During Securities Trading - Time Spent 10% - LIFE, HEALTH, DISABILITY AND LTC. 2. 11/30/2016 - SPRAGUE WEALTH SOLUTIONS, LLC - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 8/10/2011 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 45%. 3. 05/10/2022 - Financial planner group LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Managing member - Start Date - 03/29/2022 - 4 Hours Per Month/ 1 Hours During Securities Trading 4. 02/01/2023 - New West Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 12/16/2022 - 4 Hours Per Month/3 Hours During Securities Trading 5. 05/22/2023 - 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 Scott Alan Sprague'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: 1999
Experience
Current
November 30, 2016 - Present
MARINER ADVISOR NETWORK
Office #1: 156 Diablo Road Suite 3320, Danville, CA 94526RIA
CRD#: 283824
Danville, CA
Current
November 30, 2016 - Present
LPL FINANCIAL LLC
Office #1: 156 Diablo Road Suite 320, Danville, CA 94526RIA
BD
CRD#: 6413
Danville, CA
Past
July 18, 2018 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN RAMON, CA
Past
March 6, 2017 - April 26, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN RAMON, CA
Past
August 24, 2012 - December 2, 2016
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN RAMON, CA
Past
August 24, 2012 - December 2, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SAN RAMON, CA
Past
October 8, 2010 - August 24, 2012
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
SAN RAMON, CA
Past
October 8, 2010 - August 24, 2012
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SAN RAMON, CA
Past
April 17, 2002 - October 14, 2010
OSAIC FA, INC.
RIA
CRD#: 3978
SAN RAMON, CA
Past
April 17, 2002 - April 7, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 17, 2002 - October 14, 2010
OSAIC FA, INC.
BD
CRD#: 3978
SAN RAMON, CA
Past
September 30, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 30, 1989 - April 10, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 13, 1989 - September 26, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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(11/30/2016)
RR
California(11/30/2016)
IAR
California(11/30/2016)
RR
Florida(5/31/2017)
RR
Indiana(9/9/2023)
RR
Massachusetts(11/30/2016)
RR
Montana(8/2/2021)
RR
Nebraska(5/1/2023)
RR
Nevada(1/9/2023)
RR
Ohio(11/8/2017)
RR
Oregon(11/30/2016)
RR
South Carolina(11/30/2016)
RR
Tennessee(3/7/2025)
IAR
Texas(5/5/2017)
RR
Texas(7/18/2018)
RR
Utah(6/29/2021)
RR
Washington(4/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 283824Danville, CA 94526TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
