James Mayes
James Mayes is a registered investment advisor at LPL Financial LLC, based in Nashville, TN, with 34 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
8160 Sawyer Brown Road, Nashville, TN, 37221
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James receives compensation from investment-related sales of insurance and annuities through affiliated entities. He also has a transition agreement with his former employer, Northwestern Mutual, related to registered investment advisory services, but devotes no time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
First Horizon Advisors, INC
Ftb Advisors, INC.
First Horizon Advisors, INC.Broker
Ftb Advisors, INC.
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Amsouth Investment Management Company LLC
Amsouth Investment Services, INC.
Amsouth Investment Services, INC.Broker
Invest Financial CorporationBroker
Ameristar Capital Markets, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.