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RIA / WealthAdvisor13 years in industry

JOY SOON OH

Advisor at MARINER

OOKALA, HI

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Search this name across graphsid dfx:ria:4679a4a3-3b1d-fc2e-e69f-ee8bc02676ad

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 8, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 26, 2012
First registration: Nov 8, 2012
Dual registered: no
Other names: JOY OH|JOY SOON OH
IAPD individual key: 6031149

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Mar 15, 2022	n/a	yes	OOKALA, HI	Current employment
ADVICEPERIOD, LLC	Former SEC adviser	Aug 17, 2017	Mar 30, 2022	no	LOS ANGELES, CA\|Ookala, HI\|LOS ANGELES, CA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Mar 10, 2015	Jul 24, 2017	no	LONG BEACH, CA	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Mar 5, 2014	Feb 11, 2015	no	Carpinteria, CA\|HENDERSON, NV	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 22, 2013	Oct 28, 2013	no	WEST LOS ANGELES, CA\|SANTA MONICA, CA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Nov 8, 2012	Jul 22, 2013	no	LOS ANGELES, CA\|IRVINE, CA\|LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ADVICEPERIOD, LLC	Mariner	Mar 30, 2022	Mar 15, 2022	-15	Firm change	RIA to ibd
CETERA ADVISOR NETWORKS LLC	ADVICEPERIOD, LLC	Jul 24, 2017	Aug 17, 2017	24	Firm change	Other
PLANMEMBER SECURITIES CORPORATION	CETERA ADVISOR NETWORKS LLC	Feb 11, 2015	Mar 10, 2015	27	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PLANMEMBER SECURITIES CORPORATION	Oct 28, 2013	Mar 5, 2014	128	Firm change	Other
EQUITABLE ADVISORS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 22, 2013	Jul 22, 2013	0	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169828:140195:CA:2022-03-30	Mar 30, 2022	Mar 15, 2022	LOS ANGELES, CA	Firm change

Relationships

Registered with (6)

→ MARINERRegistered adviserregistration: current employment
Mar 15, 2022 to presentfactForm ADV
→ ADVICEPERIOD, LLCRegistered adviserregistration: previous registration
Aug 17, 2017 to Mar 30, 2022factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Mar 10, 2015 to Jul 24, 2017factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 5, 2014 to Feb 11, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 22, 2013 to Oct 28, 2013factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 8, 2012 to Jul 22, 2013factForm ADV

Dated events

Occurred
Mar 30, 2022
Advisor changed firm
Joy Soon Oh left Adviceperiod, Llc for Mariner (registered 2022-03-15)
Form ADVobserved 6 days ago