Robert
Tapia

Mariner Independent

CRD#4762978
Investment Advisor
in Los Gatos, CA

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About this Advisor

Robert Tapia is a financial advisor based in Los Gatos, California, working with Mariner Independent. Robert has previously held positions at Waddell & Reed, Inc, Various Insurance Carriers For W&R Insurance Agencies, Inc, Lpl Financial, LLC, Stratos Wealth Partners, LTD, and Mariner Independent Advisor Network, LLC. Robert has passed the Series 63 and Series 65 regulatory exams and is registered to provide services in California. Currently, Robert is part of Mariner Independent, which operates out of Los Gatos, California. The firm has 94 offices and 184 employees. The firm manages assets totaling $8.1 billion and serves a variety of clients, including charitable organizations and high-net-worth individuals. The services offered by the firm include financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, and selection of other advisers. The fee structure at Mariner Independent includes asset-based, hourly, and fixed fees.

Certifications and Registrations

Series 63, Series 65

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

14830 Los Gatos Blvd., Suite 201
Los Gatos, CA 95032

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Mariner Independent Brokerage Details

Total Assets Under Management

$8,146,610,014

CA Average: $2,243,162,756
Total Number of Employees

184

CA Average: 44
Total Number of Accounts

27,977

CA Average: 4,091
Average Account Size

$291,190

CA Average: $548,316

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers

Robert Tapia Work History

2020 - Present (5 years)

Mariner Independent Advisor Network, LLC

2017 - Present (8 years)

Lpl Financial, LLC

2017 - 2020 (3 years)

Stratos Wealth Partners, LTD

2011 - 2017 (6 years)

Waddell & Reed, Inc

2011 - 2017 (6 years)

Various Insurance Carriers For W&R Insurance Agencies, Inc

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Disclosures

Please visit the SEC profile of Robert Tapia to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Mariner Independent

Chad Faul
Walnut Creek, CA
Blake Curtin
Palos Verdes Peninsula, CA
Mason Monroe
Reno, NV
Frank Aceves
Walnut Creek, CA
Cory Leckie
Corona, CA
Adeline Bellot
Palo Alto, CA
Jacob Whitaker
Sacramento, CA
Eric Green
Spokane, WA

The content in this profile was updated by SmartAsset on 6/19/2024. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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