Individual Firm
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JOSEPH ANTHONY AZZOPARDI
CRD#: 5237132
IA
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MARINER WEALTHCRD#: 140195 5000 Birch Street, West Tower
#367
Newport Beach, CA 92660
#367
Newport Beach, CA 92660
0
Disclosures
15
Years of Experience
View By:
State Registrations
IA
California 2/8/2022
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Registered with this firm since 2/8/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/01/2018 - 03/03/2022 | TORRANCE, CA | |
IA | 09/12/2017 - 11/01/2018 | EL SEGUNDO, CA | |
B | 09/12/2017 - 10/31/2018 | EL SEGUNDO, CA | |
IA | 07/29/2016 - 09/21/2017 | SOUTH COAST METRO, CA | |
B | 07/29/2016 - 09/21/2017 | SANTA ANA, CA | |
IA | 03/05/2013 - 08/09/2016 | HUNTINGTON BEACH, CA | |
B | 03/05/2013 - 08/09/2016 | HUNTINGTON BEACH, CA | |
IA | 09/27/2010 - 03/01/2013 | ORANGE, CA | |
B | 02/25/2010 - 03/01/2013 | ORANGE, CA | |
B | 10/14/2008 - 09/03/2009 | NEWPORT BEACH, CA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.