James D. Klepper

HIGHLAND CAPITAL MANAGEMENT

Memphis, TN 38120

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CRD#: 1426708

Professional summary

James Donald Klepper, who also goes by Jim Klepper, Jimmy Klepper, James Klepper, is a registered financial advisor currently at HIGHLAND CAPITAL MANAGEMENT, LLC located in Memphis, Tennessee.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Klepper | Jimmy Klepper | James Klepper

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) - RIA

Click below to view James Donald Klepper's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 13, 2024 - Present

HIGHLAND CAPITAL MANAGEMENT, LLC

Office #1: 850 Ridge Lake Blvd Suite 205, Memphis, TN 38120

RIA

CRD#: 104842

Memphis, TN

Past

January 20, 2021 - July 16, 2024

THE BENCHMARK COMPANY, LLC

CRD#: 22982

NEW YORK, NY

Past

May 13, 2020 - October 12, 2020

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

January 30, 2017 - September 28, 2018

WOLFE RESEARCH SECURITIES

CRD#: 151850

Baltimore, MD

Past

August 31, 2009 - December 7, 2016

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

Past

March 18, 2004 - August 31, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

September 14, 1995 - August 31, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

December 8, 1988 - April 13, 1989

MUNICIPAL SECURITIES, INCORPORATED

CRD#: 6163

MEMPHIS, TN

Past

January 10, 1986 - January 20, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

HIGHLAND CAPITAL MANAGEMENT, LLC

HIGHLAND CAPITAL MANAGEMENT CORP | HIGHLAND CAPITAL MANAGMENT, LLC | HIGHLAND CAPITAL MANAGEMENT, LLC

CRD#: 104842 / SEC#: 801-8762

RIA

Registered Investment Advisory firm - (7/21/1972 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

Tennessee
(8/13/2024)

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 65

Date: 8/12/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/11/1995

General Securities Representative Examination

Current Firm

HIGHLAND CAPITAL MANAGEMENT, LLC

HIGHLAND CAPITAL MANAGEMENT CORP | HIGHLAND CAPITAL MANAGMENT, LLC | HIGHLAND CAPITAL MANAGEMENT, LLC

CRD#: 104842 / SEC#: 801-8762

RIA

Registered Investment Advisory firm - (7/21/1972 Approved)

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Contact information

Main Address

850 Ridge Lake Blvd Suite 205, Memphis, TN 38120

Mailing Address

Phone number

(901) 761-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HIGHLAND CAPITAL MANAGEMENT LLC MARCH 2024 (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,042
AUM (Assets Under Management)	$ 3,539,134,473

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/27/2025	Cover Page	Report
07/29/2024	Cover Page	Report
11/15/2023	Cover Page	Report
08/22/2023	Cover Page	Report
08/25/2022	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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James D. Klepper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Donald Klepper's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE BENCHMARK COMPANY, LLC

FORESIDE FUND SERVICES, LLC

WOLFE RESEARCH SECURITIES

STEPHENS

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

MUNICIPAL SECURITIES, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HIGHLAND CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2024

Series 63

Date: 9/26/1995

SIE

Date: 9/28/2018

Series 7

Date: 9/11/1995

Current Firm

HIGHLAND CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HIGHLAND CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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