James Gainspoletti has been an investment adviser representative at Gainspoletti Wealth Planners Advisory since May 2025, and is not listed among the firm’s executive officers or direct owners.
Gainspoletti Wealth Planners Advisory LLC is a Cleveland, MS firm with $127M under management, 250 clients and 3 advisers across 2 offices, as of its April 2026 filing.
James Gainspoletti’s longest registration was 9 years at Raymond James Financial Services Advisors, Inc (2016–2025). Before joining Gainspoletti Wealth Planners Advisory in 2025, James Gainspoletti was registered through Raymond James Financial Services Advisors, Inc and LPL Financial LLC.
- Gainspoletti Wealth PlannersCurrent– present · 1 yearCleveland, MS · Adviser representative · Firm CRD 333768
- Raymond James Financial Services Advisors, Inc– · 9 yearsCleveland, MS · Adviser representative · Firm CRD 149018
- LPL Financial LLC– · 1 yearCleveland, MS · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
James Gainspoletti is registered as an investment adviser representative in 3 states. Each was approved in May 2025.
- LouisianaSince 6 May 2025
- MississippiSince 5 May 2025
- TexasSince 5 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 6 February 2015 |
| Series 66 | Uniform Combined State Law Examination | 14 October 2014 |
| Series 7 | General Securities Representative Examination | 21 January 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 July 2006 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 July 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Russell Gainspoletti
- CRD
- 4696407
- Firm
- Gainspoletti Wealth Planners Advisory · CRD 333768
- Office
- 805 W SUNFLOWER RD, Cleveland, MS 38732
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Gainspoletti work?
James Gainspoletti is an investment adviser representative registered through Gainspoletti Wealth Planners Advisory LLC since May 2025, and is not listed among the firm’s executive officers or direct owners.
Is James Gainspoletti a financial advisor?
Yes. James Gainspoletti has a current investment-adviser registration in Louisiana, Mississippi and Texas, through Gainspoletti Wealth Planners Advisory since May 2025.
How many years of experience does James Gainspoletti have?
James Gainspoletti has 20 years in the financial industry, since July 2006, across 3 adviser firms.
What exams has James Gainspoletti passed?
James Gainspoletti has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 66 and Series 24. The earliest, the Series 63, was passed in July 2006. FINRA credited James Gainspoletti with the SIE, which began in October 2018.
Where did James Gainspoletti work before Gainspoletti Wealth Planners Advisory?
Before Gainspoletti Wealth Planners Advisory, James Gainspoletti was registered through LPL Financial LLC, October 2014 to February 2016.
Where is James Gainspoletti based?
James Gainspoletti’s registered office is in Cleveland, MS.
Is James Gainspoletti registered with FINRA?
Yes. James Gainspoletti has a current broker registration, under CRD 4696407.
Source: FINRA BrokerCheck
How can I verify James Gainspoletti’s record?
Search CRD 4696407 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Gainspoletti’s full registration record.
