James Allen Mayes
Investment Adviser Representative at Alexander Capital Wealth Management LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Allen Mayes is an investment adviser representative with Alexander Capital Wealth Management LLC in Azusa, CA, where they have been registered since 2023. They have worked in the securities industry since 2008 and have been registered with 3 firms, including Western International Securities and Financial WEST Group. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
- Broker:
3 states and territories
California, New York, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Financial West GroupSep 2012 – Aug 2017Westlake Village, CA
- Western International Securities, Inc.Aug 2017 – no end date reportedPasadena, CA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Alexander Capital Wealth Management LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Asset management, active portfolio management investment strategies customized to client goals and objectives, personal wealth management, institutional wealth management, IRAs, rollovers, 401ks, and investment banking.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 37
- Offices listed on AdvisorFinder:
- 4
- Main office:
- Red Bank, NJ
- SEC file number:
- 801-112997
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 31, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Allen Mayes has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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