Jeffrey T. 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.
Jeffrey Tuttle Humphrey was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 55, Series 7, Series 9, Series 10, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2007 - January 2, 2019
SEAPORT GLOBAL SECURITIES LLC
March 2, 2006 - August 20, 2007
UNITED CAPITAL MARKETS, INC.
July 9, 2004 - December 31, 2005
REFCO SECURITIES, LLC
June 25, 2002 - April 5, 2004
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 17, 1998 - April 1, 2004
ZIONS DIRECT, INC.
January 11, 1996 - February 11, 1998
AUBREY G. LANSTON & CO., 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
Series 55
Date: 9/25/2006
Limited Representative-Equity Trader ExamCurrent Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
