Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROSS ALEXANDER KROLL
CRD#: 6369946
IA
Investment Adviser
MARINER INDEPENDENTCRD#: 305418 115 21ST STREET
MANHATTAN BEACH, CA 90266
Registration History
2014201520162017201820192020202120222023202420252026IAMARINER INDEPENDENT (CRD# 305418)2021 - Present (3 years)IAADVICEPERIOD, LLC (CRD# 169828)2018 - 2022 (4 years)IAOAKWOOD CAPITAL MANAGEMENT LLC (CRD# 108080)2017 - 2018 (<1 year)IAMERCER GLOBAL ADVISORS INC. (CRD# 147363)2014 - 2017 (2 years)
License(s)

State Registrations

IA
California 9/1/2021
IA
Texas 9/1/2021
Current Registration(s)
IA
MARINER INDEPENDENT (CRD#:305418)
115 21ST STREET, MANHATTAN BEACH, CA 90266
Registered with this firm since 9/1/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/17/2018 - 03/30/2022 ADVICEPERIOD, LLC (CRD#:169828) LOS ANGELES, CA
IA
 08/18/2017 - 01/17/2018 OAKWOOD CAPITAL MANAGEMENT LLC (CRD#:108080) LOS ANGELES, CA
IA
 10/07/2014 - 05/09/2017 MERCER GLOBAL ADVISORS INC. (CRD#:147363) Sherman Oaks, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.