James Kumpf

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2016 → 02/2017
  Merrill Lynch Pierce Fenner & Smith
  Pennington, NJ
• 04/2015 → 10/2016
  Unemployed
  Pennington, NJ
• 03/2017 → 11/2023
  Comerica Securities, Inc.
  Bloomfield Hills, MI
• 11/2023 → 01/2026
  Ameriprise Financial Services, Llc
  Spring Lake, NJ
• 01/2026 → Present
  Raymond James & Associates, Inc
  Spring Lake, NJ

Previous Registrations

• 2023-11-03 → 2026-01-26
  Ameriprise Financial Services, Llc
  Bloomfield Hills, MI
  Spring Lake, NJ
• 2019-04-25 → 2023-11-03
  Comerica Securities
  Bloomfield Hills, MI
• 2004-11-15 → 2006-10-12
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Plainsboro, NJ
  New York, NY

Other Businesses

Independent Insurance Brokering; Oceanview; 01/01/2019; Fixed Annuity. Outside Employment; Comerica Bank; Comerica Financial Advisor ; Comerica Financial Advisor ; 39400 Woodward Av, Ste.255, Bloomfield Hills, MI, 08750; Investment-Related; 11/06/2023; 20 to 39 hours per month; 20 to 39 during trading hours. Other Business Activities; Maestro; Money Market Business ; 39400 Woodward Av, Ste.255, Bloomfield Hills, MI, 08750; Investment-Related; 11/06/2023; 20 to 39 hours per month; 10 to 19 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-02-11
• S63 Uniform Securities Agent State Law Examination
  2011-06-13
• S66 Uniform Combined State Law Examination
  2004-11-12

Other Names

• James Kumpf
• Jim Kumpf
• James Henry Kumpf