James F. Poepl

VERMILLION WEALTH MANAGEMENT

Rosemount, MN 55068

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CRD#: 4789770

Professional summary

James Francis Poepl is a registered financial advisor currently at VERMILLION WEALTH MANAGEMENT INC. located in Rosemount, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.

**Vermillion Insurance Agency Position: Owner Nature: Insurance Agency Investment Related: No Hours: 1 Securities Trading Hours: 0 Start Date: 1/2017 Address: 15040 CANADA AVE, ROSEMOUNT, MN 55068, United States **Vermillion Bank Position: Board Member, Owner, Loan Officer Nature: bank Investment Related: No Hours: 80 Securities Trading Hours: 40 Start Date: 8/2003 Address: 107 East Main St, Vermillion MN 55085

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis Poepl'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

January 6, 2016 - Present

VERMILLION WEALTH MANAGEMENT INC.

Office #1: 15040 Canada Ave. W, Rosemount, MN 55068

RIA

CRD#: 281978

Rosemount, MN

Past

September 1, 2017 - September 2, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

ROSEMOUNT, MN

Past

January 21, 2014 - December 31, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

VERMILLION, MN

Past

January 4, 2011 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

VERMILLION, MN

Past

May 12, 2004 - December 31, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

VERMILLION, 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".

VERMILLION WEALTH MANAGEMENT INC.

CRD#: 281978 / SEC#: 801-107450

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

Minnesota

Registered Investment Advisory firm - (3/24/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Minnesota
(1/6/2016)

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 66

Date: 6/29/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/2004

General Securities Representative Examination

Current Firm

VERMILLION WEALTH MANAGEMENT INC.

CRD#: 281978 / SEC#: 801-107450

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

Minnesota

Registered Investment Advisory firm - (3/24/2016 Terminated)

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Contact information

Main Address

15040 Canada Ave. W, Rosemount, MN 55068

Mailing Address

Phone number

(651) 480-4601

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A AND 2B (8/22/2025)

ADV2A APPENDIX 1 AND 2B (1/30/2025)

Regulatory assets under management

Total Number of Accounts	1,423
AUM (Assets Under Management)	$ 364,047,827

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

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James F. Poepl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis Poepl's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

VERMILLION WEALTH MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2004

SIE

Date: 10/1/2018

Series 7

Date: 5/11/2004

Current Firm

VERMILLION WEALTH MANAGEMENT INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERMILLION WEALTH MANAGEMENT INC.

TRUST BUT VERIFY

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