Joseph S. James

MARINER WEALTH

Overland Park, KS 66211

Some features on this profile are disabled

CRD#: 4411376

Professional summary

Joseph S James, who also goes by Joe James, is a registered financial advisor currently at MARINER WEALTH located in Overland Park, Kansas.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Joseph has worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe James

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) Coker James & Company, PC CPAs; Not Investment-related; Kennesaw, GA; regional CPA firm; Shareholder, Accountant, and Plan Trustee for the firm's 401(k) plan; Start Date: 08/01/1996; 160 hrs/mo, 160 hrs/mo during securities trading hours. (2) BluNVest, LLC; Investment-related; Kennesaw, GA; Solicitor Firm; Owner/Member; Start Date: 01/01/2024; 0 hrs/mo, 0 hrs/mo during securities trading; providing referrals of clients to registered investment advisors. (3) Simile Initiative, LLC; Investment-related; Woodstock, GA & Kennesaw, GA; Residential & Commercial leasing entity; LLC Member; Start Date: 01/01/2020; 2 hrs/mo, 0 hours during securities trading; hours; among other periodic tasks, collecting rent payments, inspect the property, and maintain the leases.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph S James's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 16, 2024 - Present

MARINER WEALTH

Office #1: 5700 W. 112th St. Ste. 500, Overland Park, KS 66211

RIA

CRD#: 289886

Overland Park, KS

Past

April 29, 2013 - September 4, 2024

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

Kennesaw, GA

Past

September 30, 2005 - July 1, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

ATLANTA, GA

Past

June 10, 2003 - August 22, 2012

APRIO WEALTH MANAGEMENT, LLC

RIA

CRD#: 127333

ATLANTA, GA

Past

May 14, 2003 - October 4, 2005

CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953

COLUMBUS, OH

Past

October 2, 2001 - December 16, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MARINER WEALTH

MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL

CRD#: 289886 / SEC#: 801-111823

RIA

Registered Investment Advisory firm - (10/6/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(9/16/2024)

IAR

Kansas
(8/16/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/6/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2001

General Securities Representative Examination

Current Firm

MARINER WEALTH

MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL

CRD#: 289886 / SEC#: 801-111823

RIA

Registered Investment Advisory firm - (10/6/2017 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5700 W. 112th St Suite 500, Overland Park, KS 66211

Mailing Address

Phone number

(913) 904-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MWA-IC FORM ADV PART 2A (3/28/2025)

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.

Similar Advisors

Jori Guzhuna

AMERITAS ADVISORY SERVICES, LLC

LINCOLN, NE

David Anderson

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Newburgh, IN

Daniel Milks

FIDUCIARY ORGANIZATION, LLC

IAR

Greenville, SC

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph S. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph S James's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARINER WEALTH

AVANTAX PLANNING PARTNERS, INC.

SECURITIES AMERICA, INC.

APRIO WEALTH MANAGEMENT, LLC

CAP PRO BROKERAGE SERVICES, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

MARINER WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2001

Series 7

Date: 10/1/2001

Current Firm

MARINER WEALTH

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

MARINER WEALTH

TRUST BUT VERIFY

Similar Advisors