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RIA / WealthAdvisorCertified Financial Planner17 years in industry

JOSEPH ANTHONY AZZOPARDI

Advisor at MARINER

Newport Beach, CA

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Search this name across graphsid dfx:ria:c5ba79a7-a85a-845d-2cca-bbd62f36f49a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 27, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 20, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Oct 20, 2008
First registration: Sep 27, 2010
Dual registered: no
IAPD individual key: 5237132

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Feb 8, 2022	n/a	yes	Newport Beach, CA	Current employment
EDELMAN FINANCIAL ENGINES	Independent wealth	Nov 1, 2018	Mar 3, 2022	no	EL SEGUNDO, CA\|TORRANCE, CA	Previous registration
EDELMAN FINANCIAL SERVICES, LLC	Former SEC adviser	Sep 12, 2017	Nov 1, 2018	no	EL SEGUNDO, CA\|CENTURY CITY, CA\|FAIRFAX, VA	Previous registration
GOLDEN STATE WEALTH MANAGEMENT, LLC	Independent wealth	Jul 29, 2016	Sep 21, 2017	no	POWELL, WY	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 5, 2013	Aug 9, 2016	no	HUNTINGTON BEACH, CA\|HUNTINGTON BEACH, CA\|COSTA MESA, CA\|FOUNTAIN VALLEY, CA\|HUNTINGTON BEACH, CA\|COSTA MESA, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Sep 27, 2010	Mar 1, 2013	no	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	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EDELMAN FINANCIAL ENGINES	Mariner	Mar 3, 2022	Feb 8, 2022	-23	Firm change	RIA to ibd
EDELMAN FINANCIAL SERVICES, LLC	EDELMAN FINANCIAL ENGINES	Nov 1, 2018	Nov 1, 2018	0	Bulk transfer	Ibd to RIA
GOLDEN STATE WEALTH MANAGEMENT, LLC	EDELMAN FINANCIAL SERVICES, LLC	Sep 21, 2017	Sep 12, 2017	-9	Firm change	Other
J.P. MORGAN SECURITIES LLC	GOLDEN STATE WEALTH MANAGEMENT, LLC	Aug 9, 2016	Jul 29, 2016	-11	Firm change	Other
U.S. BANCORP ADVISORS, LLC	J.P. MORGAN SECURITIES LLC	Mar 1, 2013	Mar 5, 2013	4	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104510:140195:CA:2022-03-03	Mar 3, 2022	Feb 8, 2022	TORRANCE, CA	Firm change
79:167995:CA:2016-08-09	Aug 9, 2016	Jul 29, 2016	COSTA MESA, CA	Firm change

Relationships

Registered with (6)

→ MARINERRegistered adviserregistration: current employment
Feb 8, 2022 to presentfactForm ADV
→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: previous registration
Nov 1, 2018 to Mar 3, 2022factForm ADV
→ EDELMAN FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 12, 2017 to Nov 1, 2018factForm ADV
→ GOLDEN STATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 29, 2016 to Sep 21, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Mar 5, 2013 to Aug 9, 2016factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 27, 2010 to Mar 1, 2013factForm ADV

Dated events

Occurred
Mar 3, 2022
Advisor changed firm
Joseph Anthony Azzopardi left Edelman Financial Engines for Mariner (registered 2022-02-08)
Form ADVobserved 4 days ago