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JL

James "tripp" P. Lumpkin

TAR RIVER WEALTH PLANNING
Louisburg, NC 27549-9998
Some features on this profile are disabled
CRD#: 4565582
JL

Professional summary

James "tripp" Parker Lumpkin III, who also goes by James Parker Lumpkin III, is a registered financial advisor currently at TAR RIVER WEALTH PLANNING, LLC located in Louisburg, North Carolina.

James "tripp" is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James "tripp" has worked at 3 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Parker Lumpkin Iii

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)Name of Business: The Lumpkin Group Address: 109 N. Main St., Louisburg, NC 27549, louisburg, NC, 27549, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: Yes 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: Advisor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James "tripp" Parker Lumpkin III'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

February 16, 2024 - Present

TAR RIVER WEALTH PLANNING, LLC

Office #1: 109 N Main St, Louisburg, NC 27549-9998
RIA
CRD#: 328530
Louisburg, NC
Past

December 8, 2022 - December 31, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Raleigh, NC
Past

November 12, 2002 - December 31, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
RALEIGH, NC

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
(2/16/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/6/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2002
General Securities Representative Examination

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)
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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)

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

TAR RIVER WEALTH PLANNING - FORM ADV 2A BROCHURE (3/18/2025)
TAR RIVER WEALTH PLANNING - FORM ADV 2A WRAP FEE BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts1,326
AUM (Assets Under Management)$ 370,287,186

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

TAR RIVER WEALTH PLANNING, LLC

CRD#: 328530Louisburg, NC 27549-9998

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