Curtis C. Humphris
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.
Curtis Carlyle Humphris III, who also goes by Curt Humphris III, Curtis C Humphris III, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1991. Curtis had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2012 - March 6, 2015
TRIUMPH WEALTH ADVISORS, INC.
November 15, 2010 - March 6, 2015
TAYLOR CAPITAL MANAGEMENT INC.
August 13, 2009 - November 11, 2010
WOODSTOCK FINANCIAL GROUP, INC.
August 13, 2009 - November 11, 2010
WOODSTOCK FINANCIAL GROUP, INC.
September 1, 2006 - September 3, 2009
AVANTAX ADVISORY SERVICES
October 1, 1998 - September 3, 2009
AVANTAX INVESTMENT SERVICES, INC.
March 18, 1998 - October 22, 1998
MML INVESTORS SERVICES, LLC
May 9, 1996 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
May 4, 1995 - January 19, 1996
IDS LIFE INSURANCE COMPANY
May 4, 1995 - January 19, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
October 28, 1994 - February 13, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
August 24, 1993 - February 17, 1994
FERGUSON, ANDREWS & ASSOCIATES, INC.
February 21, 1991 - May 11, 1993
EDWARD JONES
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
TRIUMPH WEALTH ADVISORS, INC.
CRD#: 153175 / SEC#: 801-79603
Contact information
Regulatory assets under management
| Total Number of Accounts | 252 |
| AUM (Assets Under Management) | $ 30,337,210 |
Red Flags
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