Joseph Anthony Azzopardi

Employer firm

Mariner CRD 140195

$125B regulatory AUM 216 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → 09/2017
  Lpl Financial
  Santa Ana, CA
• 07/2016 → 09/2017
  Golden State Wealth Management, Llc
  South Coast Metro, CA
• 09/2017 → 10/2018
  Ef Legacy Securities, Llc
  Henrico, VA
• 09/2017 → 11/2018
  Edelman Financial Services, Llc
  Fairfax, VA
• 11/2018 → 02/2022
  Financial Engines Advisors L.L.C.
  Sunnyvale, CA
• 02/2022 → Present
  Mariner Wealth Advisors
  Costa Mesa, CA

Previous Registrations

• 2018-11-01 → 2022-03-03
  Edelman Financial Engines
  El Segundo, CA
  Torrance, CA
• 2017-09-12 → 2018-11-01
  Edelman Financial Services, Llc
  El Segundo, CA
  Century City, CA
  Fairfax, VA
• 2016-07-29 → 2017-09-21
  Golden State Wealth Management, Llc
  Powell, WY
• 2013-03-05 → 2016-08-09
  J.P. Morgan Securities Llc
  Huntington Beach, CA
  Huntington Beach, CA
  Costa Mesa, CA
  Fountain Valley, CA
  Huntington Beach, CA
  Costa Mesa, CA
• 2010-09-27 → 2013-03-01
  U.S. Bancorp Advisors, Llc
  Orange, CA
  Tustin, CA
  Irvine, CA
  Irvine, CA
  Newport Beach, CA
  Santa Ana, CA
  Anaheim, CA
  Santa Ana, CA
  Tustin, CA
  Fullerton, CA
  Yorba Linda, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2010-09-23
• S63 Uniform Securities Agent State Law Examination
  2008-10-20

Designations

• Certified Financial Planner