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LM

Lemuel M. Mayberry

LEMUEL JAMES FINANCIAL
San Antonio, TX
Some features on this profile are disabled
CRD#: 3174588
LM

Professional summary

Lemuel Marcellus Mayberry, who also goes by Lemuel M Mayberry, Pete Mayberry, is a registered financial advisor currently at LEMUEL JAMES FINANCIAL located in San Antonio, Texas.

Lemuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Lemuel has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Lemuel M Mayberry | Pete Mayberry

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.
Lemuel Mayberry is licensed to sell insurance (since December 2010) and real estate (since July 2014). Mr. Mayberry conducts his insurance and real estate business as an individual. Mr. Mayberry does not actively conduct business in either insurance or real estate, but will occasionally provide insurance and real estate services if needed. Mr. Mayberry has never provided such services to advisory clients, but would if the need arose. Mr. Mayberry spends less than 1 hour per month on such outside business activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lemuel Marcellus Mayberry's 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

March 10, 2020 - Present

LEMUEL JAMES FINANCIAL

RIA
CRD#: 162212
San Antonio, TX
Past

March 10, 2014 - September 2, 2014

INSTITUTIONAL SECURITIES CORPORATION

BD
CRD#: 20291
San Antonio, TX
Past

April 30, 2012 - December 31, 2019

LEMUEL JAMES FINANCIAL

RIA
CRD#: 162212
SAN ANTONIO, TX
Past

January 29, 2011 - April 30, 2012

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
SAN ANTONIO, TX
Past

January 14, 2011 - April 30, 2012

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
SAN ANTONIO, TX
Past

August 10, 2009 - December 17, 2010

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
WIND CREST, TX
Past

July 29, 2009 - December 17, 2010

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
WIND CREST, TX
Past

January 8, 2003 - July 31, 2009

MISSIONSQUARE INVESTMENT SERVICES

BD
CRD#: 23189
DALLAS, TX
Past

March 19, 1999 - December 4, 2002

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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.

Highlighted states indicate IAR registrations

IAR
Texas
(3/10/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/31/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1999
General Securities Representative Examination

Current Firm

LJ
LEMUEL JAMES FINANCIAL
LEMUEL JAMES FINANCIAL | LEMUEL JAMES FINANCIAL, LLC

CRD#: 162212 / SEC#:

North Carolina
Registered Investment Advisory firm - (12/9/2021 Terminated)
Texas
Registered Investment Advisory firm - (3/10/2020 Approved)
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Contact information

Main Address
San Antonio, TX
Mailing Address
Phone number
(210) 287-2992
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts196
AUM (Assets Under Management)$ 14,690,000

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.

Company Information

LEMUEL JAMES FINANCIAL

CRD#: 162212San Antonio, TX

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