Spence Dean Sarazin

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:

Current Employers

Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-01-20

CA RA
APPROVED

Since 2026-01-20

Branch Locations

899 Northgate Dr. Suite 300, San Rafael, CA 94903 • United States

Mill Valley, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Republic Bank	San Francisco	CA	01/2018	12/2018
First Republic Securities Company, Llc	San Francisco	CA	05/2018	12/2018
Funding Circle Usa	San Francisco	CA	08/2014	11/2017
Mariner	Overland Park	KS	01/2026	Present
First Republic Securities Company, Llc	San Francisco	CA	01/2019	05/2023
First Republic Bank	San Francisco	CA	01/2019	05/2023
Jp Morgan Chase & Co.	Columbus	OH	07/2023	10/2023
Anderson Roberts Financial Inc	San Diego	CA	10/2023	03/2025
Bridger Fund Inc	San Diego	CA	04/2025	12/2025

01/2018 → 12/2018

First Republic Bank

San Francisco, CA
05/2018 → 12/2018

First Republic Securities Company, Llc

San Francisco, CA
08/2014 → 11/2017

Funding Circle Usa

San Francisco, CA
01/2026 → Present

Mariner

Overland Park, KS
01/2019 → 05/2023

First Republic Securities Company, Llc

San Francisco, CA
01/2019 → 05/2023

First Republic Bank

San Francisco, CA
07/2023 → 10/2023

Jp Morgan Chase & Co.

Columbus, OH
10/2023 → 03/2025

Anderson Roberts Financial Inc

San Diego, CA
04/2025 → 12/2025

Bridger Fund Inc

San Diego, CA

Other Businesses

1. Personal Rental Property: Address 11377 Wolverine Circle, Truckee, CA 92054 Vesting/Owner: Spence Sarazin, an Individual Investment related: yes Nature: Personal investment real estate, single unit Position: Owner/Landlord Start: November 4, 2021 Hours per month: 2 to 5 Hours devoted during securities trading hours: none Duties: Locate tenants, pay utility bills, coordinate repairs, communicate with tenants, property management 2. Boys & Girls Clubs of San Dieguito - Non-profit 501c3 Investment Related - no Address: Oceanside, Ca Position: Junior Board Treasurer Start date: June 2025 Approximate number of hours per month: 2 Hours during securities trading hours: 0 Assist with budgeting and planning for 3 charity events per year, attendance of the Boys and Girls Club Senior Board Finance committee meetings, I do not have access to any bank accounts and I do not provide investment advice.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-06-12
S63	Uniform Securities Agent State Law Examination	2018-08-10

S65 Uniform Investment Adviser Law Examination

2024-06-12
S63 Uniform Securities Agent State Law Examination

2018-08-10

Other Names

Spence Sarazin

View on SEC IAPD