Anne M. Umphrey
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.
Anne Marie Umphrey, who also goes by Anne Marie Latcham, Anne Latcham Umphrey, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1993. Anne had worked at 2 firms and has passed the 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
February 19, 2010 - September 8, 2023
U. S. BOSTON CAPITAL CORPORATION
March 24, 2002 - March 16, 2012
PEAR TREE ADVISORS, INC.
November 5, 1999 - January 2, 2003
U. S. BOSTON CAPITAL CORPORATION
March 22, 1993 - December 24, 2009
U. S. BOSTON CAPITAL CORPORATION
Primary Firm SEC Registration
U. S. BOSTON CAPITAL CORPORATION
CRD#: 5251 / SEC#: 801-130044, 8-15885
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
U. S. BOSTON CAPITAL CORPORATION
CRD#: 5251 / SEC#: 801-130044, 8-15885
Contact information
SEC notice filing (4 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BOSTON CORPORATION | SHAREHOLDER | |
| HUNT, DIANE | TREASURER | 1314708 |
| HUNT, DIANE | PRINCIPAL OPERATIONS OFFICER | 1314708 |
| KESSINGER, DEBORAH ANNE | PRESIDENT, CHIEF COMPLIANCE OFFICER, BROKER DEALER | 1801530 |
| MONISOV, ALINA | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6235159 |
| OKUROWSKI, LEON | VICE PRESIDENT, DIRECTOR AND CLERK | 351799 |
| UMPHREY, WILLARD LEE | DIRECTOR | 451556 |
Regulatory assets under management
| Total Number of Accounts | 271 |
| AUM (Assets Under Management) | $ 359,787,261 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 |
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.
