James Matthew Mayes

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2010 → Present
  First Tennessee Brokerage, Inc.
  Nashville, TN
• 10/2013 → Present
  Ftb Advisors, Inc.
  Nashville, TN
• 08/2025 → Present
  Lpl Financial Llc
  Nashville, TN

Previous Registrations

• 2010-11-29 → 2025-08-21
  First Horizon Advisors, Inc.
  Nashville, TN
  Nashville, TN
  Nashville, TN
  Nashville, TN
  Nashville, TN
  Nashville, TN
• 2010-12-10 → 2013-10-10
  Ftb Advisors, Inc.
  Memphis, TN
• 2007-11-05 → 2010-09-27
  Northwestern Mutual Investment Services, Llc
  Nashville, TN
• 2005-06-03 → 2007-10-19
  Fifth Third Securities, Inc.
  Nashville, TN
  Franklin, TN
  Brentwood, TN
  Franklin, TN
  Fairview, TN
  Franklin, TN
  Franklin, TN
  Brentwood, TN
  Spring Hill, TN
  Franklin, TN
  Hendersonville, TN
  Nashville, TN
  Hendersonville, TN
  Gallatin, TN
  Nashville, TN
  Antioch, TN
  Murfreesboro, TN
  Murfreesboro, TN
  Brentwood, TN
  Madison, TN
  Augusta, GA
  Brentwood, TN
  Nashville, TN
  Nashville, TN
• 2003-07-10 → 2004-10-29
  Amsouth Investment Management Company Llc
  Birmingham, AL
• 2003-02-19 → 2003-09-29
  Amsouth Investment Services, Inc.
  Brentwood, TN

Other Businesses

1- 08/21/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name First Horizon Advisors - Investment Related - At reported Business Location(s) - Start Date 07/28/2025 - 160 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2000-05-06
• S63 Uniform Securities Agent State Law Examination
  1991-11-13

Other Names

• Jim Mayes