James Dudley Sumpter

Current Employers

Employment History

• 12/2015 → 06/2018
  Lpl Financial Llc
  Birmingham, AL
• 12/2015 → Present
  Rfg Advisory Dba Cmc Financial
  Vestavia Hills, AL
• 06/2018 → Present
  Private Client Services
  Birmingham, AL

Previous Registrations

• 2009-03-17 → 2015-12-28
  Ameriprise Financial Services, Llc
  Birmingham, AL
• 2000-05-24 → 2009-03-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Birmingham, AL
  Birmingham, AL

Other Businesses

1) 12/09/2015. CMC FINANCIAL. 1400 URBAN CENTER DR, STE 475, VESTAVIA HILLS, AL 35242. TAX PREPARATION. PRESIDENT/MANAGING MEMBER. 10 HOURS/MO; 3 DURING TRADING HOURS. 2) 12/09/2015. LEADERSHIP SHELBY COUNTY- ALUMNI BOARD OF DIRECTORS. UNIVERSITY OF MONTEVALLO. MONTEVALLO, AL. COMMUNITY LEADERSHIP ORGANIZATION. ALUMNI BOARD OF DIRECTORS. 2 HOURS/MO; 1 DURING TRADING HOURS. 3) 12/09/2015. RFG ADVISORY. 1400 URBAN CENTER DR, STE 475, VESTAVIA HILLS, AL 35242. DBA FOR PCS ACTIVITIES. REGISTERED REPRESENTATIVE. 195 HOURS/MO; 125 DURING TRADING HOURS. 4) 12/09/2015. RFG ADVISORY. 1400 URBAN CENTER DR, STE 475, VESTAVIA HILLS, AL 35242. ADVISORY ACTIVITIES. IAR. 50 HOURS/MO; 25 DURING TRADING HOURS. 5) 08/29/2024. PELHAM CITY SCHOOLS FOUNDATION. 3113 CUMMINGS STREET, PELHAM, AL 35124. FOUNDATION CREATED TO SUPPORT THE PELHAM CITY SCHOOL SYSTEM AND ITS VARIOUS SCHOOLS, TEACHES, AND SUPPORT STAFF. EXECUTIVE BOARD MEMBER. 5 HOURS/MO; 0 DURING TRADING HOURS. 6) JAMES AND SUSAN SUMPTER ILIT DTD 03/2000. 341 WOODWARD COURT, BIRMINGHAM, AL 35242. IRRECOVABLE LIFE INSURANCE TRUST FOR PARENTS. TRUSTEE. 0 HRS/MO; 0 DURING TRADING HRS. 7) GRAFFEO SUMPTER AND ASSOCIATES LLC. 1400 URBAN CENTER DR, STE 475, BIRMINGHAM, AL 35242. PARTNERSHIP WITH ADVISOR ANDREW GRAFFEO. FINANCIAL ADVISOR, WILL HELP TO ADVISE CLIENTS. 40 HRS/MO; 40 DURING TRADING HRS. 8) CMC FINANCIAL LLC. 1400 URBAN CENTER DRIVE, STE 475, VESTAVIA HILLS, AL 35242. DBA. OWNER/FINANCIAL ADVISOR/INSURANCE AGENT. 160 HRS/MO;160 DURING TRADING HRS. 9) KAPLAN, COLLEGE FOR FINANCIAL PLANNING. 9000 East Nichols Avenue, Suite 200, Centennial, CO 80112. A company that offers postsecondary education and test prep. Adjunct professor, possibly reviewing or writing curriculums. 12 hrs/mo; 0 during trading hrs. Not investment related. 10) Samford University; not investment related; 800 Lakeshore Drive, Birmingham, AL 35229; university; adjunct professor teaching personal finance; start date 01/2025; number of hours per month: 12; number of hours per month during trading hours: 8.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-09-16
• S63 Uniform Securities Agent State Law Examination
  1997-06-19

Designations

Other Names

• Jim Sumpter
• James D Sumpter
• Jim Sumpter