Richard B. Humphrey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Bruce Humphrey was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 1997 - August 25, 1998
SHATKIN FINANCIAL SERVICES, INC.
April 8, 1996 - December 12, 1996
EMMETT A LARKIN COMPANY, INC.
October 13, 1995 - March 28, 1996
SECURITIES SERVICE NETWORK, LLC
January 12, 1993 - May 17, 1995
REPUBLIC SECURITIES, INC.
March 17, 1992 - January 1, 1993
H.J. MEYERS & CO., INC.
July 22, 1991 - March 4, 1992
PRIVATE INVESTORS CARTEL, LTD.
July 16, 1991 - September 24, 1991
KOBER FINANCIAL CORP.
September 25, 1990 - March 8, 1991
WHITEHOUSE & MOORE INVESTMENTS, INC.
July 22, 1982 - August 10, 1990
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SHATKIN FINANCIAL SERVICES, INC.
CRD#: 16883 / SEC#: , 8-34681
Contact information
Documents
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.
