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Inactive

Joseph James Sims

Mariner

Emeryville, CA

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Current Employers
Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-12-16
  • CA RA
    APPROVED
    Since 2021-12-16

Branch Locations

6425 Christie Ave. Ste. 290, Emeryville, CA 94608 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
The Savant Group San Francisco CA 01/2004 12/2021
Mariner Wealth Advisors Emeryville CA 12/2021 Present
  • 01/2004 → 12/2021
    The Savant Group
    San Francisco, CA
  • 12/2021 → Present
    Mariner Wealth Advisors
    Emeryville, CA
Previous Registrations
  • 2004-05-21 → 2022-01-26
    Savant Investment Group, Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-05-20
S63 Uniform Securities Agent State Law Examination 1997-01-07
  • S65 Uniform Investment Adviser Law Examination
    2004-05-20
  • S63 Uniform Securities Agent State Law Examination
    1997-01-07
Designations

View on SEC IAPD

Other Firms

SELBY WEALTH MANAGEMENT
INTERFUNDS
TRIGOFI
STRYKER FINANCIAL
DEFILADE CAPITAL MANAGEMENT, L.P.
ARCHETYPE MGMT, LLC
TRILLIUM INVESTMENTS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

JOSEPH ALBERT WELLS
ROBERT JOHN WELLS
DANIEL KEITH BEATTY
GEORGE R PASTOR
Alvaro Illan Fernandez
FARZAD KHOSHNOODI
SCOTT LAURENCE LUMMER
Alexis J Howard

Other Offices

SELBY WEALTH MANAGEMENT · EMERYVILLE, CA
INTERFUNDS · EMERYVILLE, CA
TRIGOFI · EMERYVILLE, CA
STRYKER FINANCIAL · EMERYVILLE, CA
DEFILADE CAPITAL MANAGEMENT, L.P. · EMERYVILLE, CA
ARCHETYPE MGMT, LLC · EMERYVILLE, CA
TRILLIUM INVESTMENTS · EMERYVILLE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · EMERYVILLE, CA

More in Emeryville, CA

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