Humphrey S. Desmond
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.
Humphrey Stuart Desmond, who also goes by H Stuart Desmond, H S Desmond, was a registered financial professional .
Humphrey is a previously registered financial professional and started their career in finance in 1993. Humphrey had worked at 3 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
February 13, 2019 - December 15, 2022
OPEROSE ADVISORS LLC
April 28, 1995 - January 11, 2019
ROBERT W. BAIRD & CO. INCORPORATED
July 21, 1993 - April 28, 1995
CLEARY GULL REILAND & MCDEVITT INC.
Primary Firm SEC Registration
OPEROSE ADVISORS LLC
CRD#: 287465 / SEC#: 801-118313
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
OPEROSE ADVISORS LLC
CRD#: 287465 / SEC#: 801-118313
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,418 |
| AUM (Assets Under Management) | $ 1,929,495,968 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 |
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.
