Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sumpter is a financial advisor at RFG Advisory, LLC, with over 25 years of experience in the financial services industry. James has a strong track record of helping individuals and families achieve their financial goals. James holds the Series 7, Series 31, Series 63, and Series 65 licenses, as well as the Certified Financial Planner designation. James is committed to providing his clients with personalized financial advice and investment strategies. Before joining RFG Advisory, LLC James was with LPL Financial LLC and Ameriprise Financial Services, Inc.. James's professional experience includes providing a wide range of financial services to individuals, families, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AL
12/28/2015 - Present
RFG Advisory, LLC (VESTAVIA HILLS AL)
AL
12/09/2015 - 06/08/2018
LPL FINANCIAL LLC (VESTAVIA HILLS AL)
AL
03/17/2009 - 12/28/2015
AMERIPRISE FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
AL
05/08/2009 - 09/08/2011
SECURITIES AMERICA, INC. (BIRMINGHAM AL)
AL
05/17/2000 - 03/19/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
NY
07/30/1998 - 05/11/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MN
06/16/1997 - 07/15/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/16/1997 - 07/15/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 09/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/05/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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