Patricia L. Lumpkin

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CRD#: 1171495

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.

Patricia Lane Lumpkin, who also goes by Patricia Margaret Lane, Patty Lane Lumpkin, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1985. Patricia had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Aliases

Patricia Margaret Lane | Patty Lane Lumpkin

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

June 22, 2025 - June 16, 2026

JUNO FINANCIAL GROUP LLC

RIA

CRD#: 336362

RICHMOND, VA

Past

January 13, 2020 - June 16, 2025

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Richmond, VA

Past

January 13, 2020 - June 16, 2025

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Richmond, VA

Past

October 31, 2017 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HENRICO, VA

Past

January 15, 2014 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GLEN ALLEN, VA

Past

August 16, 2005 - December 16, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MIDLOTHIAN, VA

Past

May 29, 2001 - August 17, 2005

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

November 29, 2000 - May 25, 2001

NBC CAPITAL MARKETS GROUP, INC.

CRD#: 18229

MEMPHIS, TN

Past

March 15, 1989 - September 17, 1999

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

April 6, 1988 - November 2, 1988

VANSOUTH SECURITIES, INC.

CRD#: 10044

Past

February 21, 1985 - February 26, 1987

BRANCH, CABELL & CO., INC.

CRD#: 6820

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".

JUNO FINANCIAL GROUP LLC

CRD#: 336362 / SEC#: 801-132999

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

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: 10/27/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

Current Firm

JUNO FINANCIAL GROUP LLC

CRD#: 336362 / SEC#: 801-132999

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

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Contact information

Main Address

1802 Bayberry Court Suite 203, Richmond, VA 23226

Mailing Address

Phone number

(804) 500-6464

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JUNO FINANCIAL GROUP LLC - FORM ADV 2A (2/12/2026)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 541,908,916

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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Advisor Monitoring

Firm Stability Insights

Patricia L. Lumpkin

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

FISERV INVESTOR SERVICES, INC.

NBC CAPITAL MARKETS GROUP, INC.

CRESTAR SECURITIES CORPORATION

VANSOUTH SECURITIES, INC.

BRANCH, CABELL & CO., INC.

Primary Firm SEC Registration

JUNO FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2017

Series 63

Date: 3/8/1985

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1985

Current Firm

JUNO FINANCIAL GROUP LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JUNO FINANCIAL GROUP LLC

TRUST BUT VERIFY

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