Mark R. Humphreys

LIG CAPITAL MANAGEMENT

Oklahoma City, OK 73116-2203

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CRD#: 2934648

Professional summary

Mark Rough Humphreys is a registered financial advisor currently at LIG CAPITAL MANAGEMENT, LLC located in Oklahoma City, Oklahoma.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Mark has worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10 and Series 9 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.

1) MARK HUMPHREYS & ASSOCIATES, NON-INVESTMENT RELATED S-CORP, 2025 Worthington Lane, EDMOND, OK 73013, START DATE 2006, PRESIDENT, 1-2 HOURS PER MONTH, 0 HOURS PER MONTH DURING TRADING HOURS, GENERAL BUSINESS ADMINISTRATIVE DUTIES. 2) PENINSULA ENERGY LOGISTICS, NON-INVESTMENT RELATED, 12630 DOWNSVIEW LANE, OKC, OK 73142, OIL & GAS PIPELINE TRANSPORTATION & LOGISTICS, MANAGER, START DATE 10/15/2023, 1-2 HOURS PER MONTH 0 HOURS PER MONTH DURING TRADING HOURS, ADMINISTRATIVE DUTIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Rough Humphreys's CRS (Customer Relationship Summary).

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

December 7, 2010 - Present

LIG CAPITAL MANAGEMENT, LLC

Office #1: 3503 N.w. 63rd Street Suite 100, Oklahoma City, OK 73116-2203

RIA

CRD#: 130489

Oklahoma City, OK

Past

February 28, 2006 - December 16, 2010

COMPASS WEALTH MANAGEMENT, LLC

RIA

CRD#: 138192

OKLAHOMA CITY, OK

Past

April 29, 2003 - November 18, 2009

PHILLIPS CAPITAL ADVISORS, INC.

RIA

CRD#: 115758

OKLAHOMA CITY, OK

Past

April 25, 2003 - December 31, 2012

T.S. PHILLIPS INVESTMENTS, INC.

CRD#: 124348

OKLAHOMA CITY, OK

Past

October 19, 2001 - May 9, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

OKLAHOMA CITY, OK

Past

October 19, 2001 - May 9, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 18, 1997 - October 29, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIG CAPITAL MANAGEMENT, LLC

CRD#: 130489 / SEC#: 801-125846

RIA

Registered Investment Advisory firm - (6/10/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (6/23/2022 Terminated)

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).

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.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(12/7/2010)

IAR

Texas
(6/13/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/9/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/17/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/12/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/15/2002

General Securities Sales Supervisor - Options Module Examination

Current Firm

LIG CAPITAL MANAGEMENT, LLC

CRD#: 130489 / SEC#: 801-125846

RIA

Registered Investment Advisory firm - (6/10/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (6/23/2022 Terminated)

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Contact information

Main Address

3503 N.w. 63rd Street Suite 100, Oklahoma City, OK 73116-2203

Mailing Address

Phone number

(405) 463-3334

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINAL - LIG ADV 2 (20250616) (7/17/2025)

Regulatory assets under management

Total Number of Accounts	692
AUM (Assets Under Management)	$ 196,764,050

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Mark R. Humphreys

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Rough Humphreys's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPASS WEALTH MANAGEMENT, LLC

PHILLIPS CAPITAL ADVISORS, INC.

T.S. PHILLIPS INVESTMENTS, INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LIG CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/1997

Series 63

Date: 9/23/1997

Series 31

Date: 10/9/1997

Series 7

Date: 9/17/1997

Series 10

Date: 8/12/2002

Series 9

Date: 7/15/2002

Current Firm

LIG CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIG CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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