James L. Rummel

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CRD#: 1067146

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 Louis Rummel, who also goes by James L Rummel, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1982. James had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James L Rummel

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®

None

Experience

Past

January 5, 1994 - December 31, 2012

STIFEL INDEPENDENT ADVISORS, LLC

CRD#: 28218

GRAND RAPIDS, MI

Past

February 14, 1989 - January 8, 1991

CENTENNIAL SECURITIES COMPANY, INC.

CRD#: 7763

GRAND RAPIDS, MI

Past

November 7, 1988 - January 10, 1989

PRIMUS FINANCIAL SERVICES, INC.

CRD#: 677

Past

July 1, 1988 - July 9, 1988

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

Past

June 24, 1985 - July 1, 1988

BMMG CAPITAL CORP.

CRD#: 7304

Past

November 1, 1982 - September 21, 1984

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

September 24, 1982 - July 17, 1984

MANLEY, BENNETT, MCDONALD & CO

CRD#: 551

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".

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

Series 63

Date: 2/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/18/1982

General Securities Representative Examination

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.

CRD#: 28218 / SEC#: 801-43561, 8-43514

RIA

Registered Investment Advisory firm - SEC (3/19/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One Financial Plaza 501 North Broadway, St Louis, MO 63102

Mailing Address

One Financial Plaza 501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-4051

Established

Missouri since 05/24/2021

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

206

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADVISORY CONSULTING SERVICES (3/31/2025)

FINANCIAL PLANNING (3/31/2025)

WRAP FEE PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	OWNER-HOLDING COMPANY OWNING 100%
KRUSZEWSKI, RONALD JAMES	CHAIRMAN, STIFEL FINANCIAL	1434827
BRAUTIGAM, ALLEN COR	PRESIDENT AND CEO	2400179
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER	4696103
DODSON, CHARLES EDWARD	CCO-ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL	4970942
MELINGER, ADAM SCOTT	ROSFP	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
ROWAN, JAMES FRANCIS	PRINCIPAL FINANCIAL OFFICER	1976998
ZEMLYAK, JAMES MARK	MANAGER, BOARD OF MANAGERS	1586132

Regulatory assets under management

Total Number of Accounts	11,648
AUM (Assets Under Management)	$ 4,379,138,273

Disclosures

Regulatory Event	3
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/20/2024	Cover Page	Report
09/28/2023	Cover Page	Report
11/28/2022	Cover Page	Report

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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Firm Stability Insights

James L. Rummel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTENNIAL SECURITIES COMPANY, INC.

PRIMUS FINANCIAL SERVICES, INC.

ROBERT W. BAIRD & CO. INCORPORATED

BMMG CAPITAL CORP.

THOMSON MCKINNON SECURITIES INC.

MANLEY, BENNETT, MCDONALD & CO

Primary Firm SEC Registration

STIFEL INDEPENDENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/1994

Series 7

Date: 9/18/1982

Current Firm

STIFEL INDEPENDENT ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL INDEPENDENT ADVISORS, LLC

TRUST BUT VERIFY

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