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RIA / WealthAdvisorCertified Financial Planner28 years in industry

GEOFFREY THOMAS WATERS

Advisor at MARINER

Fullerton, CA

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Search this name across graphsid dfx:ria:f019ba53-68d4-0709-3ab3-fe553aef8966

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Nov 21, 2002 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: Jul 22, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jul 22, 1998
First registration: Nov 21, 2002
Dual registered: no
IAPD individual key: 3089377

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	Oct 7, 2025	n/a	yes	Fullerton, CA	Current employment
ALPHA CUBED INVESTMENTS, LLC	Former SEC adviser	Aug 21, 2023	Sep 26, 2025	no	COSTA MESA, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Aug 30, 2023	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Nov 21, 2002	Jul 13, 2018	no	IRVINE, 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
ALPHA CUBED INVESTMENTS, LLC	Mariner	Sep 26, 2025	Oct 7, 2025	11	Firm change	RIA to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	ALPHA CUBED INVESTMENTS, LLC	Aug 30, 2023	Aug 21, 2023	-9	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Relationships

Registered with (4)

→ MARINERRegistered adviserregistration: current employment
Oct 7, 2025 to presentfactForm ADV
→ ALPHA CUBED INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 21, 2023 to Sep 26, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Aug 30, 2023factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Nov 21, 2002 to Jul 13, 2018factForm ADV

Dated events

Occurred
Sep 26, 2025
Advisor changed firm
Geoffrey Thomas Waters left Alpha Cubed Investments, Llc for Mariner (registered 2025-10-07)
Form ADVobserved 6 days ago
Occurred
Aug 30, 2023
Advisor changed firm
Geoffrey Thomas Waters left Fidelity Personal And Workplace Advisors for Alpha Cubed Investments, Llc (registered 2023-08-21)
Form ADVobserved 6 days ago