JL
James P. Lumpkin
TAR RIVER WEALTH PLANNING
Louisburg, NC 27549-9998
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CRD#: 1245480
JL
Professional summary
James Parker Lumpkin II, who also goes by Parker Lumpkin, is a registered financial advisor currently at TAR RIVER WEALTH PLANNING, LLC located in Louisburg, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Parker 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.
1) LUMPKIN & LUMPKIN, 109 N Main St., Louisburg, NC, Real Estate Brokerage/ Agent or Development, NOT INVESTMENT RELATED:9/2005: PARTNER:: HPM 2-10 HRS DURING TRADING 2-10 DOD: :One of two managing partners 2) LUMPKIN ENTERPRISES INC. LOUISBURG, NC. APPROX. ONE HR. PER WEEK WITH COMP. OF $2,500 PER YEAR. 3) BLUE BOX COMPANY VIDEO, INC. LOUISBURG, NC. NON-INVESTMENT RELATED, 12/1990 DEVOTES 160 HRS PER MONTH, 130 HRS DURING TRADING. 4) BLUE RIDGE TREE FARMS, INC. WILSON, NC. DEVOTES APPROX 2 HRS PER WEEK WITH COMP OF $200 PER MONTH. LOUISBURG, NC. DEVOTES APPROX. 1 HR EVERY TWO WEEKS. 5) MEMBER OF LOCAL ADVISORY BOARD OF UNITED CAROLINA BANK, LOUISBURG, NC. DEVOTES 1 HR PR QUARTER. MEMBER OF FORESTRY ADVISORY COMMITTEE TO GOVERNOR NC DEPT OF NATURAL RESOURCES & COMMUNITY DEVELOPMENT 6) The Lumpkin Group - 210 West Millbrook Rd., Raleigh, NC Nature of the Business: Support Company - Non Owner Position/Title: Other Investment Related:No Start Date: 04/30/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0 -1 Description of duties: employee of support company for RJFS practice 7) Phelps Road LLC. - 109 N Main St., PO Box 120, Louisburg, NC Nature of the Business: Support Company - Owner Position/Title: Officer - CEO Investment Related:No Start Date: 09/18/2002 Hours per month devoted to this business: 0.5 Hours per month devoted to this business during trading hours: 0 Description of duties: oversight of personal assets with wife. 8) Name of Business: E C Lumpkin Ltd Partnership Address: P O Box 120 , 109 N Main St. louisburg, NC, 27549 Activity Type: Real Estate Brokerage/ Agent or Development Position/Title: Partner Investment Related: Yes Start Date: 09/14/2005 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Manage and run the partnership
CRS (Client Relationship Summary) - RIA
Click below to view James Parker Lumpkin II'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
January 11, 2024 - Present
TAR RIVER WEALTH PLANNING, LLC
Office #1: 109 N Main St, Louisburg, NC 27549-9998RIA
CRD#: 328530
Louisburg, NC
Past
January 2, 2009 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LOUISBURG, NC
Past
December 31, 2001 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
LOUISBURG, NC
Past
July 26, 1989 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LOUISBURG, NC
Past
July 9, 1986 - July 27, 1989
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
April 12, 1984 - July 28, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
TR
TAR RIVER WEALTH PLANNING, LLC
TAR RIVER WEALTH PLANNING, LLC
CRD#: 328530 / SEC#: 801-129188
RIA
Registered Investment Advisory firm - (12/8/2023 Approved)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
North Carolina(1/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TR
TAR RIVER WEALTH PLANNING, LLC
TAR RIVER WEALTH PLANNING, LLC
CRD#: 328530 / SEC#: 801-129188
RIA
Registered Investment Advisory firm - (12/8/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
109 N Main St, Louisburg, NC 27549-9998
Mailing Address
P.o. Box 505, Louisburg, NC 27549-9998
Phone number
(919) 496-1511
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,326 |
| AUM (Assets Under Management) | $ 370,287,186 |
Red Flags
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Company Information
TAR RIVER WEALTH PLANNING, LLC
CRD#: 328530Louisburg, NC 27549-9998TRUST BUT VERIFY
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