James A. Joyce
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Allen Joyce, who also goes by James Allen Joyce, Jim Joyce, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2022 - August 6, 2025
MARINER WEALTH
September 17, 2021 - September 1, 2022
BRINKER CAPITAL SECURITIES, LLC
January 31, 2020 - September 1, 2022
ORION PORTFOLIO SOLUTIONS, LLC
April 19, 2018 - September 27, 2019
SECURITIES AMERICA ADVISORS, INC.
April 19, 2018 - September 27, 2019
SECURITIES AMERICA, INC.
October 18, 2017 - March 19, 2018
MML INVESTORS SERVICES, LLC
October 10, 2017 - March 19, 2018
MML INVESTORS SERVICES, LLC
December 5, 2006 - July 30, 2009
NATIONWIDE INVESTMENT ADVISORS, LLC
January 26, 2006 - December 5, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 28, 2005 - September 18, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 15, 2004 - May 17, 2005
ORION PORTFOLIO SOLUTIONS, LLC
April 1, 2004 - March 28, 2005
NATIONAL PENSION & GROUP CONSULTANTS, INC
February 18, 2000 - June 24, 2002
COREBRIDGE CAPITAL SERVICES, INC.
August 4, 1994 - December 7, 1999
PACIFIC SELECT DISTRIBUTORS, LLC
August 13, 1993 - June 6, 1994
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MARINER WEALTH
CRD#: 140195 / SEC#: 801-66632
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 155,767 |
| AUM (Assets Under Management) | $ 98,603,233,201 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/19/2024 | ||
| 12/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
