Lemuel Marcellus Mayberry

Employer firm

Lemuel James Financial CRD 162212

$18.0M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting

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

Current Employers

Lemuel James Financial

San Antonio, TX • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-03-10

TX RA
APPROVED

Since 2020-03-10

Branch Locations

San Antonio, TX • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lemuel James Financial	Windcrest	TX	06/2009	Present

06/2009 → Present

Lemuel James Financial

Windcrest, TX

Previous Registrations

2012-04-30 → 2019-12-31

Lemuel James Financial

San Antonio, TX
2011-01-29 → 2012-04-30

Principal Securities, Inc.

San Antonio, TX
2009-08-10 → 2010-12-17

United Planners' Financial Services Of America A Limited Partner

Wind Crest, TX

Scottsdale, AZ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-03-31
S63	Uniform Securities Agent State Law Examination	1999-03-19

S65 Uniform Investment Adviser Law Examination

2008-03-31
S63 Uniform Securities Agent State Law Examination

1999-03-19

Other Names

Pete Mayberry
Lemuel M Mayberry

View on SEC IAPD