James E. Mahan
SOUTH TEXAS CAPITAL ADVISORS
New Braunfels, TX 78130
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CRD#: 5787176
Professional summary
James Earl Mahan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Prior to being barred, James has worked at 6 firms, which includes RAYMOND JAMES FINANCIAL SERVICES ADVISORS INC, RAYMOND JAMES FINANCIAL SERVICES INC., J.P. MORGAN SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CHASE INVESTMENT SERVICES CORP..
Biography
Max Pearl is a member of The Burns Troop Team at J.P. Morgan Wealth Management. He manages daily functions and works diligently with clients to accomplish their objectives. His responsibilities include monitoring, tracking and executing trades. He provides idea generation, strategic planning analysis and performance modeling.
Prior to joining the team, Max worked as an Investment Banking Analyst, evaluating and structuring custody agreements with some of the largest financial institutions. Previously, he worked at Ally Financial in its Commercial Banking division, assessing credit exposure and economic forecasting.
Max graduated with honors from the University of Arkansas, where he earned a B.S. in Financial Management with a double minor in Economics and Marketing. He is a member of the Youth Leadership Council for the Make-A-Wish Foundation, DFW Chapter.
Max lives in Dallas and enjoys golfing, playing tennis and skiing.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Mahan
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. NB Capital LLC; Position Title: Managing Member; Start Date: 05/2016; Approximate number of hours per month: Less than 10% 2. Solms Landing Development LLC; Position Title: Manager; Start Date: 03/2017; Approximate Number of Hours per Month: 20 Hours; Number of Hours spent during trading hours: 10 hours; Location: New Braunfels, Texas; Description of Duties: Oversees all business matters; Investment Related: No. GSJM 1101 LLC Not investment related 1259 Loop 337 Ste 300 New Braunfels, TX 78130 Real Estate Owner Jan 1, 2023 4 hrs a month 0 hrs during securities hrs Manage real estate asset Churchill 337 LLC Not investment related 1259 Loop 337 Ste 300 New Braunfels, TX 78130 Real Estate Owner Jan 1, 2023 4 hrs a month 0 hrs during securities hrs Manage real estate asset Solms Landing 306 LLC Not investment related 1259 Loop 337 Ste 300 New Braunfels, TX 78130 Real Estate Owner Jan 1, 2023 4 hrs a month 0 hrs during securities hrs Manage real estate asset Solms Pickleball LLC Not investment related 1259 Loop 337 Ste 300 New Braunfels, TX 78130 Real Estate Owner Jan 1, 2023 4 hrs a month 0 hrs during securities hrs Manage real estate asset Solms Landing Maintenance Association Not investment related 1259 Loop 337 Ste 300 New Braunfels, TX 78130 Real Estate Owner Jan 1, 2023 4 hrs a month 0 hrs during securities hrs Manage Solms Landing property owners association Farmhaus at Solms Landing Property Owners Association Not investment related 1259 Loop 337 Ste 300 New Braunfels, TX 78130 Real Estate Owner Jan 1, 2023 4 hrs a month 0 hrs during securities hrs Manage Farmhaus at Solms Landing property owners assocation
CRS (Client Relationship Summary) - RIA
Click below to view James Earl Mahan'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®
NoneExperience
Current
May 22, 2017 - Present
SOUTH TEXAS CAPITAL ADVISORS, LLC
Office #1: 1259 Tx-337 Loop #300, New Braunfels, TX 78130RIA
CRD#: 283773
New Braunfels, TX
Past
May 11, 2015 - July 5, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
NEW BRAUNFELS, TX
Past
May 8, 2015 - July 5, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
NEW BRAUNFELS, TX
Past
July 3, 2013 - May 19, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
NEW BRAUNFELS, TX
Past
July 3, 2013 - May 19, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW BRAUNFELS, TX
Past
February 23, 2011 - July 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN ANTONIO, TX
Past
January 19, 2011 - July 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN ANTONIO, TX
Past
May 31, 2010 - January 3, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
NEW BRAUNFELS, TX
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(5/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
ST
SOUTH TEXAS CAPITAL ADVISORS, LLC
SOUTH TEXAS CAPITAL ADVISORS, LLC
CRD#: 283773 / SEC#:
Texas
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Contact information
Main Address
1259 Tx-337 Loop #300, New Braunfels, TX 78130
Mailing Address
Phone number
(830) 387-4110
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 58 |
| AUM (Assets Under Management) | $ 75,698,848 |
Red Flags
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Company Information
SOUTH TEXAS CAPITAL ADVISORS, LLC
CRD#: 283773New Braunfels, TX 78130TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
