James A. Mayes

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

AZUSA, CA

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CRD#: 2879995

Professional summary

James Allen Mayes is a registered financial advisor currently at ALEXANDER CAPITAL WEALTH MANAGEMENT LLC located in Azusa, California and ALEXANDER CAPITAL, L.P. located in Red Bank, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Accident & Health, and Life Insurance; Investment-Related; Agent 2. DBA AMAYESINC SERVICES S CORP, Minister, 50% Owner, Non-Investment Related: Ministry , Book Sales/Writing, Speaking Engagements (Ministry Related). Devote 12 hours per week.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Mayes's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 2, 2023 - Present

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

RIA

CRD#: 157714

AZUSA, CA

Current

June 1, 2023 - Present

ALEXANDER CAPITAL, L.P.

Office #1: 10 Drs James Parker Blvd, Suite 202, Red Bank, NJ 07701

CRD#: 40077

Red Bank, NJ

Past

August 21, 2017 - June 1, 2023

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

Woodland Hills, CA

Past

August 21, 2017 - June 1, 2023

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Woodland Hills, CA

Past

September 27, 2013 - August 21, 2017

FINANCIAL WEST GROUP

RIA

CRD#: 16668

Tarzana, CA

Past

June 20, 2013 - August 21, 2017

FINANCIAL WEST GROUP

CRD#: 16668

Tarzana, CA

Past

October 1, 2001 - November 11, 2002

FINANCIAL WEST GROUP

CRD#: 16668

RENO, NV

Past

July 27, 2000 - October 12, 2001

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

July 27, 1999 - May 23, 2000

PRIME PACIFIC FINANCIAL CORPORATION

CRD#: 28963

IRVINE, CA

Past

April 2, 1998 - December 31, 1998

PRIME PACIFIC FINANCIAL CORPORATION

CRD#: 28963

IRVINE, CA

Past

June 11, 1997 - March 2, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/1/2023)

IAR

California
(6/2/2023)

New York
(6/3/2023)

Washington
(6/5/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/18/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC | LCORE WEALTH MANAGEMENT LLC | ARTHUR MORRIS LIFFESTYLE WEALTH MANAGEMENT | ALEXANDER CAPITAL, L.P.

CRD#: 157714 / SEC#: 801-112997

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Arkansas

Registered Investment Advisory firm - (5/15/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (6/20/2018 Terminated)

New York

Registered Investment Advisory firm - (5/15/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2018 Terminated)

Washington

Registered Investment Advisory firm - (5/22/2018 Terminated)

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Contact information

Main Address

10 Drs. James Parker Blvd Suite 202, Red Bank, NJ 07701

Mailing Address

Phone number

(212) 687-5650

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALEXANDER CAPITAL WEALTH MANAGEMENT, LLC FIRM BROCHURE (3/11/2025)

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC APPENDIX 1 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	999
AUM (Assets Under Management)	$ 212,106,766

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James A. Mayes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Mayes's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALEXANDER CAPITAL, L.P.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP

FIRST ALLIED SECURITIES, INC.

PRIME PACIFIC FINANCIAL CORPORATION

PRIME PACIFIC FINANCIAL CORPORATION

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2013

Series 63

Date: 6/18/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/19/2013

FINRA

Current Firm

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALEXANDER CAPITAL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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