JK
JK
James Kumpf
15 Years of Experience
Spring Lake, NJ
3 DisclosuresBrokerSells Insurance
James Kumpf is a registered investment advisor at Raymond James & Associates, INC., based in Spring Lake, NJ, with 15 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Spring Lake, NJ
Get directionsHistory
Regulatory History (3)
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Financial
July 2016Final
Financial
July 2016Final
Financial
July 2016Final
Other Business ActivitiesSells Insurance
James works as an independent insurance broker selling fixed annuities since 2019. He also has outside employment at Comerica Bank and is involved in a money market business called Maestro, each taking about 10-20% of his time.
Employment History
Current Registrations
Raymond James & Associates, INC.
January 2026 - Present · 4 mos
Raymond James & Associates, INC.
January 2026 - Present · 4 mos
Raymond James & Associates, INC.Broker
January 2026 - Present · 4 mos
Previous Registrations
Ameriprise Financial Services, LLCBroker
November 2023 - January 2026 · 2 yrs 2 mos
Ameriprise Financial Services, LLC
November 2023 - January 2026 · 2 yrs 2 mos
Comerica Securities
April 2019 - November 2023 · 4 yrs 7 mos
Comerica SecuritiesBroker
March 2017 - November 2023 · 6 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2017 - March 2017 · 1 mo
Blackrock Execution ServicesBroker
April 2012 - March 2015 · 2 yrs 11 mos
Blackrock Capital Markets, LLCBroker
July 2011 - September 2012 · 1 yr 2 mos
Merrill Lynch Pierce Fenner & Smith INC.
November 2004 - October 2006 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2004 - October 2006 · 2 yrs 3 mos
State Registrations19 states
ALAZCACOFLILKYMAMDMIMONCNJNYOHSCTXVAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.