Joseph S James
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe James
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL
Contact Information
Main Address
5700 W. 112th St Suite 500, Overland Park, KS 66211Phone Number
(913) 904-5700# of Employees
65SEC notice filing (27 States and Territories)
Registered to provide investment advisory services in 27 US states and territories.
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
MARINER | MARINER WEALTH ADVISORS-IC, LLC | MARINER WEALTH ADVISORS | MARINER WEALTH | MARINER INSTITUTIONAL
State Registrations and Notice Filings
(9/16/2024)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph S James's CRS (Customer Relationship Summary).
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