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Arturo Y. Lumpkin

TAR RIVER WEALTH PLANNING | Operations Manager
Louisburg, NC 27549-9998
Some features on this profile are disabled
CRD#: 5373714
AL

Professional summary

Arturo Ynocencio Casanova Lumpkin, AIF®, who also goes by Arturo Casanova Lumpkin, Arturo Casanova Lumpkin, is a registered financial advisor currently at TAR RIVER WEALTH PLANNING, LLC located in Louisburg, North Carolina.

Arturo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Arturo has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Arturo Casanova Lumpkin | Arturo Casanova Lumpkin

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 Arturo Ynocencio Casanova Lumpkin'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®
AIF®

Accredited Investment Fiduciary

Experience

Current

January 11, 2024 - Present

TAR RIVER WEALTH PLANNING, LLC

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

January 2, 2009 - December 31, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
LOUISBURG, NC
Past

March 11, 2008 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
LOUISBURG, NC
Past

October 17, 2007 - December 31, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
LOUISBURG, 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
(1/11/2024)
IAR
Texas
(3/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/8/2008
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: 10/16/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/7/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/18/2012
General Securities Sales Supervisor - Options Module 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

Operations ManagerCRD#: 328530Louisburg, NC 27549-9998

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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