James R. Gainspoletti

GAINSPOLETTI WEALTH PLANNERS

CLEVELAND, MS 38732

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CRD#: 4696407

Professional summary

James Russell Gainspoletti, CFP® is a registered financial advisor currently at GAINSPOLETTI WEALTH PLANNERS located in Cleveland, Mississippi and PRIVATE CLIENT SERVICES, LLC located in Cleveland, Mississippi.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. James has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Gainspoletti and Associates. 805 W Sunflower Rd. Tax and Accounting Services. CPA. 8 hrs/mo; 2 during trading hrs. Not investment related. 2) Gainspoletti Wealth Planners. 805 W Sunflower Rd, Cleveland, MS 38732. RIA. 120 hrs/mo; 120 during trading hrs. Investment Adviser Representative. investment Related 3) Ashford Advisors. 5898 Ridgewood Road, Jackson, MS 39211. Life & Disability Insurance. Outside Agent. 8 hrs/mo; 2 during trading hrs. Investment related. 4) Private Client Services. 2225 Lexington Rd, Louisville, KY 40206. BD 40 hrs/mo; 30 hours during trading hours. Registered Representative. Investment Related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Russell Gainspoletti'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: 2013

Experience

Current

May 5, 2025 - Present

GAINSPOLETTI WEALTH PLANNERS

Office #1: 805 W Sunflower Rd, Cleveland, MS 38732

RIA

CRD#: 333768

CLEVELAND, MS

Current

May 5, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 805 W Sunflower Road, Cleveland, MS 38732

RIA

CRD#: 120222

Cleveland, MS

Past

February 3, 2016 - May 8, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CLEVELAND, MS

Past

January 29, 2016 - May 8, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Cleveland, MS

Past

October 17, 2014 - February 16, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

CLEVELAND, MS

Past

July 14, 2006 - February 16, 2016

LPL FINANCIAL LLC

CRD#: 6413

CLEVELAND, MS

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".

GAINSPOLETTI WEALTH PLANNERS

GAINSPOLETTI WEALTH PLANNERS | GAINSPOLETTI WEALTH PLANNERS ADVISORY LLC

CRD#: 333768 / SEC#: 801-132267

RIA

Registered Investment Advisory firm - (3/28/2025 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.

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

Alabama
(5/5/2025)

Arizona
(5/5/2025)

Arkansas
(5/5/2025)

Colorado
(5/5/2025)

Florida
(5/5/2025)

Georgia
(5/5/2025)

Illinois
(5/5/2025)

Louisiana
(5/5/2025)

IAR

Louisiana
(5/6/2025)

Maryland
(5/5/2025)

Mississippi
(5/5/2025)

IAR

Mississippi
(5/5/2025)

Missouri
(5/5/2025)

North Carolina
(5/5/2025)

Ohio
(5/5/2025)

Tennessee
(5/5/2025)

Texas
(5/5/2025)

IAR

Texas
(5/5/2025)

Wyoming
(5/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/14/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/21/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/2006

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GAINSPOLETTI WEALTH PLANNERS

GAINSPOLETTI WEALTH PLANNERS | GAINSPOLETTI WEALTH PLANNERS ADVISORY LLC

CRD#: 333768 / SEC#: 801-132267

RIA

Registered Investment Advisory firm - (3/28/2025 Approved)

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Contact information

Main Address

805 W Sunflower Rd, Cleveland, MS 38732

Mailing Address

Phone number

(662) 843-6090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GAINSPOLETTI WEALTH PLANNERS ADV PART 2A JULY 2025 (7/22/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 105,000,000

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 R. Gainspoletti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Russell Gainspoletti's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

GAINSPOLETTI WEALTH PLANNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2014

Series 63

Date: 7/13/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/21/2010

Series 6

Date: 7/13/2006

Series 24

Date: 2/6/2015

FINRA

Current Firm

GAINSPOLETTI WEALTH PLANNERS

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GAINSPOLETTI WEALTH PLANNERS

TRUST BUT VERIFY

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