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James Matthew Mayes

LPl Financial LLC

Nashville, TN

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2025-08-21
  • TN RA
    APPROVED
    Since 2025-08-21

Branch Locations

8160 Sawyer Brown Road, Nashville, TN 37221 • 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
First Tennessee Brokerage, Inc. Nashville TN 11/2010 Present
Ftb Advisors, Inc. Nashville TN 10/2013 Present
Lpl Financial Llc Nashville TN 08/2025 Present
  • 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
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-06
S63 Uniform Securities Agent State Law Examination 1991-11-13
  • S66 Uniform Combined State Law Examination
    2000-05-06
  • S63 Uniform Securities Agent State Law Examination
    1991-11-13
Other Names
  • Jim Mayes

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
U.S. BANCORP ADVISORS, LLC · Nashville, TN

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