Richard B. Culpepper

JAMES INVESTMENT RESEARCH

Xenia, OH 45385

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CRD#: 2942828

Professional summary

Richard Brian Culpepper, who also goes by Brian Culpepper, is a registered financial advisor currently at JAMES INVESTMENT RESEARCH INC located in Xenia, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Richard has worked at 3 firms and has passed the Series 63, Series 65, Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Culpepper

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.

JAMES INVESTMENT RESEARCH-INVESTMENT RELATED-1349 FAIRGROUND RD, XENIA, OH 45385-REGISTERED INVESTMENT ADVISOR - FIRST VP-160 HRS. TOTAL PER MONTH 160 HOURS PER MONTH DURING TRADING HOURS-PORTFOLIO MANAGEMENT AND MARKETING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Brian Culpepper'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

November 7, 2011 - Present

JAMES INVESTMENT RESEARCH INC

Office #1: 1349 Fairground Road, Xenia, OH 45385

RIA

CRD#: 110433

Xenia, OH

Past

March 19, 2012 - December 2, 2022

ALPS DISTRIBUTORS, INC.

CRD#: 16853

XENIA, OH

Past

July 22, 1998 - March 2, 2009

IFS FUND DISTRIBUTORS, INC.

CRD#: 24075

CINCINNATI, OH

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".

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 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

Ohio
(11/7/2011)

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: 3/30/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/27/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/24/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES INVESTMENT RESEARCH INC

CRD#: 110433 / SEC#: 801-12359

RIA

Registered Investment Advisory firm - (10/2/1976 Approved)

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Contact information

Main Address

1349 Fairground Road, Xenia, OH 45385

Mailing Address

P. O. Box 8, Alpha, OH 45301

Phone number

(937) 426-7640

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

JAMES INVESTMENT RESEARCH, INC. ADV PART 2 DECEMBER 27, 2023 (12/19/2024)

Regulatory assets under management

Total Number of Accounts	681
AUM (Assets Under Management)	$ 1,165,234,618

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

Richard B. Culpepper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Brian Culpepper's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

IFS FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

JAMES INVESTMENT RESEARCH INC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/2007

Series 65

Date: 8/27/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 3/24/1998

Current Firm

JAMES INVESTMENT RESEARCH INC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES INVESTMENT RESEARCH INC

TRUST BUT VERIFY

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