Andrew S. 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.
Andrew Scott Humphrey was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1985. Andrew had worked at 10 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2018 - December 24, 2018
BRIGHT TRADING, LLC
June 3, 2016 - March 9, 2017
CV BROKERAGE, INC
August 8, 2012 - June 20, 2014
BARCLAYS CAPITAL INC.
May 17, 2004 - July 24, 2012
CREDIT SUISSE SECURITIES (USA) LLC
December 18, 2000 - May 21, 2004
HSBC SECURITIES (USA) INC.
May 30, 1997 - November 29, 2000
UBS FINANCIAL SERVICES INC.
March 31, 1988 - May 21, 1997
AUBREY G. LANSTON & CO., INC.
July 25, 1987 - May 16, 1988
OPPENHEIMER GOVERNMENT SECURITIES, INC.
April 22, 1985 - May 11, 1988
CIBC WORLD MARKETS CORP.
January 23, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN SECURITIES 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
BRIGHT TRADING, LLC
CRD#: 34702 / SEC#: , 8-44990
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHT INVESTMENTS, LLC | MANAGING MEMBER | |
| ARLINSKY, KOSTA | TRADER | 5510518 |
| ARLINSKY, STEVE | TRADER | 5510563 |
| JONES, KEN ANDO | TRADER | 5512985 |
| SORGIC, SINISA | TRADER | 5513001 |
| ANDERSON, DIANA ELIZABETH | COMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER | 4894089 |
| BRIGHT, ROBERT ALVIN | CEO, CFO | 1148394 |
| CHAN, STEPHEN KEI ON | TRADER | 5571223 |
| FRIESEN, ROBIN DALE | PRESIDENT/CHIEF OPERATING OFFICER | 5518030 |
| ROSS, CHRISTINE ANGEL | CFO, FINOP | 5512412 |
| SHILLETTO, ANDREW E MR. | TRADER | 4793136 |
| WALENTINY, CARLO ANNE JOSEPH | TRADER | 5518113 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
