Wayne T. Humphries

BAYVIEW INVESTMENT COUNSEL,

STEVENSVILLE, MD 21666

Some features on this profile are disabled

CRD#: 253139

Professional summary

Wayne Thomas Humphries is a registered financial advisor currently at BAYVIEW INVESTMENT COUNSEL, INC located in Stevensville, Maryland and INTERNATIONAL MONEY MANAGEMENT GROUP, INC. located in Grasonville, Maryland.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Wayne has worked at 6 firms and has passed the Series 65, Series 7TO, Series 99TO, Series 52TO, SIE, Series 1, Series 24, Series 28 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Thomas Humphries's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 1, 1991 - Present

BAYVIEW INVESTMENT COUNSEL, INC

Office #1: 301 Pier One Road #201, Stevensville, MD 21666

RIA

CRD#: 116015

STEVENSVILLE, MD

Current

January 16, 1984 - Present

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

Office #1: 110 Channel Marker Way Suite 101, Grasonville, MD 21638Office #2: 110 Channel Marker Way Suite #101, Grasonville, MD 21638

CRD#: 14367

Grasonville, MD

Past

September 3, 1982 - February 27, 1984

CADARET, GRANT & CO., INC.

CRD#: 10641

Past

January 16, 1978 - December 8, 1982

INDEPENDENT FINANCIAL PLANNERS CORPORATION

CRD#: 653

Past

February 28, 1977 - February 4, 1978

VOSS & CO., INC.

CRD#: 6405

Past

September 1, 1970 - March 1, 1975

I.F.S. INVESTORS SERVICES, INC.

CRD#: 3893

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Florida
(6/5/2007)

Maryland
(2/15/1984)

IAR

Maryland
(7/1/1991)

Virginia
(5/7/1984)

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BAYVIEW INVESTMENT COUNSEL, INC

CRD#: 116015 / SEC#: 801-69396

RIA

Registered Investment Advisory firm - (9/4/2012 Terminated)

Florida

Registered Investment Advisory firm - (8/31/2012 Approved)

Maryland

Registered Investment Advisory firm - (7/9/2012 Approved)

Virginia

Registered Investment Advisory firm - (8/22/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

110 Channel Marker Way Suite 101, Grasonville, MD 21638-1343

Mailing Address

Phone number

(410) 827-4005

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	108
AUM (Assets Under Management)	$ 30,913,475

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.

Similar Advisors

Douglas Neal

LPL FINANCIAL LLC

IAR

Brenham, TX

Sean Merlonghi

DAKOTA WEALTH, LLC

IAR

LEWES, DE

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Wayne T. Humphries

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Thomas Humphries's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CADARET, GRANT & CO., INC.

INDEPENDENT FINANCIAL PLANNERS CORPORATION

VOSS & CO., INC.

I.F.S. INVESTORS SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/1998

Series 7TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 8/24/1966

Series 24

Date: 1/2/2023

Series 28

Date: 4/24/1991

Series 00

Date: 8/26/1970

FINRA

Current Firm

BAYVIEW INVESTMENT COUNSEL, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BAYVIEW INVESTMENT COUNSEL, INC

TRUST BUT VERIFY

Similar Advisors