James T. May

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CRD#: 4426426

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Timothy May, CFP®, who also goes by Timothy James May, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2001. James had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Timothy James May

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Past

May 4, 2015 - August 1, 2024

CAPITAL MANAGEMENT LLC

RIA

CRD#: 109416

GREENSBORO, NC

Past

November 29, 2002 - February 10, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

GREENSBORO, NC

Past

October 15, 2002 - February 10, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GREENSBORO, NC

Past

August 14, 2001 - September 12, 2002

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

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".

CAPITAL MANAGEMENT LLC

CAPITAL MANAGEMENT INC | CAPITAL MANAGEMENT LLC

CRD#: 109416 / SEC#: 801-55753

RIA

Registered Investment Advisory firm - (7/24/1998 Approved)

North Carolina

Registered Investment Advisory firm - (7/12/2007 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/27/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/13/2001

General Securities Representative Examination

Current Firm

CAPITAL MANAGEMENT LLC

CAPITAL MANAGEMENT INC | CAPITAL MANAGEMENT LLC

CRD#: 109416 / SEC#: 801-55753

RIA

Registered Investment Advisory firm - (7/24/1998 Approved)

North Carolina

Registered Investment Advisory firm - (7/12/2007 Terminated)

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Contact information

Main Address

628 Green Valley Road Suite 204, Greensboro, NC 27408

Mailing Address

Phone number

(336) 856-2911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL MANAGEMENT_PART 2 A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	514
AUM (Assets Under Management)	$ 341,919,260

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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James T. May

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL MANAGEMENT LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

UST SECURITIES CORP.

Primary Firm SEC Registration

CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2002

Series 7

Date: 8/13/2001

Current Firm

CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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