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Lisa Ozaki

Mariner

San Jose, CA

Los Altos, CA

CRD 7824379

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2026-03-18
  • CA RA
    APPROVED
    Since 2026-03-18

Branch Locations

San Jose, CA • United States

467 First St Suite 201, Los Altos, CA 94022 • 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
OrganizationCityStateFromTo
Summitry, Llc Foster City CA 03/2024 03/2026
Allworth Financial San Jose CA 10/2020 03/2024
Associated Students Sdsu San Diego CA 10/2017 05/2020
Unemployed San Jose CA 06/2020 09/2020
Bank Of America San Diego CA 06/2019 08/2019
Star One Credit Union Sunnyvale CA 06/2018 08/2018
Dsw San Jose CA 05/2017 08/2017
Unemployed San Jose CA 09/2016 04/2017
Mariner Overland Park KS 03/2026 Present
  • 03/2024 → 03/2026
    Summitry, Llc
    Foster City, CA
  • 10/2020 → 03/2024
    Allworth Financial
    San Jose, CA
  • 10/2017 → 05/2020
    Associated Students Sdsu
    San Diego, CA
  • 06/2020 → 09/2020
    Unemployed
    San Jose, CA
  • 06/2019 → 08/2019
    Bank Of America
    San Diego, CA
  • 06/2018 → 08/2018
    Star One Credit Union
    Sunnyvale, CA
  • 05/2017 → 08/2017
    Dsw
    San Jose, CA
  • 09/2016 → 04/2017
    Unemployed
    San Jose, CA
  • 03/2026 → Present
    Mariner
    Overland Park, KS
Previous Registrations
Designations
  • Certified Financial Planner

View on SEC IAPD

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