AM
Aaron Mazer
MARINER INDEPENDENT
Newton Square, PA
Some features on this profile are disabled
CRD#: 4777011
AM
Professional summary
Aaron Mazer, CFP®, who also goes by Aaron D Mazer, Aaron Mazer, Aaron David Mazer, is a registered financial advisor currently at MARINER INDEPENDENT located in Newton Square, Pennsylvania.
Aaron is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Aaron has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Aaron D Mazer | Aaron Mazer | Aaron David Mazer
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) Entity Name: MidwayUSA Foundation Investment related: Yes "Address: 6001 West Van Horn Tavern Rd Suite C Columbia, MO 65203-9258 midwayusafoundation.org" Nature of the other business: Sports Position/Title/Relationship: Board Member Start Date: 07/14/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: The MidwayUSA Foundation was established in 2007 to provide sustainable funding to youth shooting sports teams across the nation. I was asked to join as a board member and be a member of the investment committee. 2) Pax Financial Advisors; Newton Square, PA; Founder; offering investment advisory services through Mariner Platform Solutions; start date 7/2023; 160 hours/month during securities trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Aaron 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: 2017
Experience
Current
July 31, 2023 - Present
MARINER INDEPENDENT
RIA
CRD#: 305418
Newton Square, PA
Past
December 7, 2021 - July 31, 2023
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
Philadelphia, PA
Past
December 7, 2021 - July 31, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
Philadelphia, PA
Past
September 30, 2020 - October 14, 2021
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
KING OF PRUSSIA, PA
Past
September 30, 2020 - October 14, 2021
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
KING OF PRUSSIA, PA
Past
January 2, 2018 - March 2, 2021
BB&T SECURITIES, LLC
RIA
CRD#: 142785
RICHMOND, VA
Past
January 2, 2018 - February 17, 2021
BB&T SECURITIES, LLC
BD
CRD#: 142785
RICHMOND, VA
Past
May 5, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
KING OF PRUSSIA, PA
Past
May 5, 2017 - January 2, 2018
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
KING OF PRUSSIA, PA
Past
November 13, 2013 - April 21, 2017
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHALFONT, PA
Past
November 12, 2013 - April 21, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHALFONT, PA
Past
October 7, 2010 - November 13, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLAYMONT, DE
Past
October 6, 2010 - November 13, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLAYMONT, DE
Past
April 17, 2009 - October 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
April 15, 2009 - October 13, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PENNINGTON, NJ
Past
July 9, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MEDIA, PA
Past
June 6, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MEDIA, PA
Past
June 29, 2007 - January 25, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
BALA CYNWYD, PA
Past
April 30, 2004 - January 25, 2008
SAL EQUITY TRADING, GP
BD
CRD#: 29337
BALA CYNWYD, PA
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".
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
Registered Investment Advisory firm - (9/12/2019 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
Pennsylvania(7/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/27/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
MI
MARINER INDEPENDENT
ABUNDANT LIFE FINANCIAL | XTRAMILE FINANCIAL GROUP | XMC WEALTH MANAGEMENT | WEALTH WITH OPTIONS | VAIL CAPITAL MANAGEMENT | TOTAL WEALTH SERVICES | STRATEGIC PATH RETIREMENT | STERLING PRIVATE WEALTH | SIDEBAR ADVISORS | SEVEN MILE ADVISORY | ROLLING HILLS ADVISORS | REGENT PRIVATE WEALTH | RATIONAL WEALTH SOLUTIONS | PROMONTORY WEALTH | PRECISE WEALTH MANAGEMENT | PHALANX VFO, LLC | PAX FINANCIAL ADVISORS | PACE WEALTH ADVISORS LLC | OLDFIELD WEALTH PARTNERS | OCEAN PATH ADVISORS | OCEAN HEIGHTS ADVISORS | NELSON WEALTH MANAGEMENT, LLC | NARROW GATE WEALTH MANAGEMENT | MONARCH PRIVATE WEALTH GROUP | MAYS WEALTH MANAGEMENT GROUP | MAURO CAPITAL MANAGEMENT | MARINER PLATFORM SOLUTIONS, LLC | MARINER PLATFORM SOLUTIONS | MARINER INDEPENDENT | MARINER ADVISOR NETWORK | MARINER | LOGARUS WEALTH SOLUTIONS | LINDENBERG FINANCIAL PLANNING | LAKE LIFE FINANCIAL PLANNING | KONA FINANCIAL PLANNING | KINNEY MUNRO WEALTH ADVISORS | KADIMA WEALTH | JOOY WEALTH | INVESTTAX WEALTH ADVISERS | INTERSECT WEALTH ADVISORS | INFINITY WEALTH COMPANY | IMPERIO WEALTH ADVISORS | GROWING LEGACIES | FORTITUDE FINANCIAL PARTNERS | FOOTHILL WEALTH ADVISORS | EXIT 59 ADVISORY | ECLECTIC WEALTH MANAGEMENT | CONNECT WEALTH GROUP | CONFLUENCE WEALTH MANAGEMENT | CONFIDO ADVICE & INVESTMENTS | CARY FINANCIAL PLANNING | CARBON WEALTH ADVISORS | CAPLAN CAPITAL MANAGEMENT | CAMDEN INVESTMENT CO | BRANCH PARTNERS, LLC | ARCHIWEALTH | ADVICEPERIOD
CRD#: 305418 / SEC#: 801-117332
RIA
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Contact information
Main Address
5700 West 112th Street Suite 500, Overland Park, KS 66211
Mailing Address
Phone number
(650) 571-1934
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,412 |
| AUM (Assets Under Management) | $ 5,615,227,678 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/05/2024 | ||
| 12/15/2023 |
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.
