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RIA / WealthAdvisor17 years in industry

STEPHEN ADAM MAZER

Advisor at MARINER INDEPENDENT

Annapolis, MD

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Search this name across graphsid dfx:ria:e86d915e-8088-6b89-69ae-16bb258478de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Feb 4, 2009 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 INDEPENDENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 4, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 20, 2015
First registration: Feb 4, 2009
Dual registered: no
IAPD individual key: 2362361

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 INDEPENDENT	Independent wealth	Jan 17, 2024	n/a	yes	Annapolis, MD	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	Jan 19, 2024	no	Annapolis, MD	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Feb 17, 2023	Jun 29, 2023	no	MISSION VIEJO, CA\|Annapolis, MD\|NEWPORT BEACH, CA	Previous registration
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC	Institutional manager	Apr 15, 2022	Jan 22, 2024	no	NEWPORT BEACH, CA\|Annapolis, MD	Previous registration
CAPITAL ONE INVESTING, INC.	Former SEC adviser	Apr 24, 2020	Apr 14, 2022	no	ANNAPOLIS, MD\|MCLEAN, VA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Feb 4, 2009	Dec 31, 2009	no	Rockville, MD	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
CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC	CETERA ADVISOR NETWORKS LLC	Jan 22, 2024	Feb 17, 2023	-339	Firm change after gap	Other
CETERA INVESTMENT ADVISERS LLC	MARINER INDEPENDENT	Jan 19, 2024	Jan 17, 2024	-2	Firm change	Ibd to RIA
CETERA ADVISOR NETWORKS LLC	CETERA INVESTMENT ADVISERS LLC	Jun 29, 2023	Jun 29, 2023	0	Bulk transfer	Ibd to ibd
CAPITAL ONE INVESTING, INC.	CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLC	Apr 14, 2022	Apr 15, 2022	1	Firm change	Other
MML INVESTORS SERVICES, LLC	CAPITAL ONE INVESTING, INC.	Dec 31, 2009	Apr 24, 2020	3,767	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
285084:126777:VA:2022-04-14	Apr 14, 2022	Apr 15, 2022	MCLEAN, VA	Firm change

Relationships

Registered with (6)

→ MARINER INDEPENDENTRegistered adviserregistration: current employment
Jan 17, 2024 to presentfactForm ADV
→ CREATIVE PLANNING INSTITUTIONAL ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 15, 2022 to Jan 22, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Jan 19, 2024factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Feb 17, 2023 to Jun 29, 2023factForm ADV
→ CAPITAL ONE INVESTING, INC.Registered adviserregistration: previous registration
Apr 24, 2020 to Apr 14, 2022factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Feb 4, 2009 to Dec 31, 2009factForm ADV

Dated events

Occurred
Jan 22, 2024
Advisor changed firm
Stephen Adam Mazer left Creative Planning Institutional Advisors, Llc for Cetera Advisor Networks Llc (registered 2023-02-17)
Form ADVobserved 5 days ago
Occurred
Jan 19, 2024
Advisor changed firm
Stephen Adam Mazer left Cetera Investment Advisers Llc for Mariner Independent (registered 2024-01-17)
Form ADVobserved 5 days ago
Occurred
Apr 14, 2022
Advisor changed firm
Stephen Adam Mazer left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-15)
Form ADVobserved 5 days ago