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James Dudley Sumpter

James D. Sumpter

RFG ADVISORY
Vestavia Hills, AL 35242-2245
Some features on this profile are disabled
CRD#: 2887790
James Dudley Sumpter

Professional summary

James Dudley Sumpter, CFP®, who also goes by James D Sumpter, Jim Sumpter, is a registered financial advisor currently at RFG ADVISORY, LLC located in Vestavia Hills, Alabama and PRIVATE CLIENT SERVICES, LLC located in Birmingham, Alabama.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Biography

Comprehensive financial planning is like a puzzle. From cash flow to estate planning, it goes together one piece at a time. A good plan starts with asking ‘why?’ Once we know the ‘why,’ we can put all the other pieces — the ‘what, when, and how’ — into place during the planning process. Jim has more than 20 years of experience helping clients achieve their financial goals. He is a CERTIFIED FINANCIAL PLANNER™ CFP® and holds FINRA Series 7, 65, 63, 31 licenses in Alabama, Georgia, New York, Pennsylvania, and Vermont. He also holds Life, Health, and Variable Annuity Licenses. He is a member of the Financial Planning Association (FPA), National Association of Tax Professionals (NATP), and Leadership Shelby County. He is also a StrongHer Money Ambassador. Jim graduated from The University of Alabama with a Bachelor of Science in Corporate Finance with a concentration in World Business and a minor in Economics. He is currently enrolled in Villanova University’s Charles Widger School of Law where he is working towards a Master of Taxation with a concentration in Estate Tax Planning. He will complete his degree in fall 2023. He is the President of the Pelham City Schools Foundation, Past President of Leadership Shelby County Alumni Board, Past President of FPA of North Alabama, and Past Campaign Chair for the United Way of Central Alabama.

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Tax Planning
Estate Planning
Education Planning
Insurance Planning
Retirement Planning
Investment Planning
Are you a "fiduciary"?
Yes

Aliases

James D Sumpter | Jim Sumpter

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 Dudley Sumpter'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®
CFP®

Certified Financial Planner

Start date: 2004

Experience

Current

December 28, 2015 - Present

RFG ADVISORY, LLC

Office #1: 1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245
RIA
CRD#: 158401
Vestavia Hills, AL
Current

June 4, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1400 Urban Center Drive Suite 475, Birmingham, AL 35242
RIA
BD
CRD#: 120222
Birmingham, AL
Past

December 9, 2015 - June 8, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
VESTAVIA HILLS, AL
Past

May 8, 2009 - September 8, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
BIRMINGHAM, AL
Past

March 17, 2009 - December 28, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
BIRMINGHAM, AL
Past

March 17, 2009 - December 28, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
BIRMINGHAM, AL
Past

May 24, 2000 - March 19, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
BIRMINGHAM, AL
Past

May 17, 2000 - March 19, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
BIRMINGHAM, AL
Past

July 30, 1998 - May 11, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 16, 1997 - July 15, 1998

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 16, 1997 - July 15, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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".
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | POWDER POINT WEALTH MANAGEMENT | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT

CRD#: 158401 / SEC#: 801-79153

RIA
Registered Investment Advisory firm - (2/6/2014 Approved)
Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)
Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)
Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)
Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)
Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Alabama
(12/28/2015)
RR
Alabama
(6/4/2018)
RR
Arkansas
(6/6/2025)
RR
Florida
(5/12/2023)
RR
Georgia
(6/4/2018)
RR
Indiana
(1/2/2024)
RR
Kentucky
(5/2/2024)
RR
Louisiana
(2/26/2026)
RR
Missouri
(12/24/2025)
RR
New York
(6/4/2018)
RR
Pennsylvania
(9/22/2021)
RR
Texas
(1/9/2026)
RR
Vermont
(6/4/2018)
RR
Virginia
(3/30/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/16/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 5/16/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/5/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | POWDER POINT WEALTH MANAGEMENT | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT

CRD#: 158401 / SEC#: 801-79153

RIA
Registered Investment Advisory firm - (2/6/2014 Approved)
Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)
Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)
Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)
Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)
Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)
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Contact information

Main Address
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245
Mailing Address
Phone number
(205) 397-2450
Established
Firm type
Fiscal year end
# of Employees
277

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (10/8/2025)

Regulatory assets under management

Total Number of Accounts23,999
AUM (Assets Under Management)$ 6,120,333,343

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.

Company Information

RFG ADVISORY, LLC

CRD#: 158401Vestavia Hills, AL 35242-2245

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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