Maria E. Humphreys
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.
Maria Erma Humphreys, who also goes by Maria Erma Nina Mia B Caunan, Mariaerma Nina Mia B Caunan, Mia B Caunan, Mia B Caunan-humphreys, Maria Erma Humphreys, Maria Erma Aka Mia Humphreys, Mia Humphreys, Maria Humphreys, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1998. Maria had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2018 - October 15, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2018 - October 15, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2016 - August 3, 2017
MUTUAL SECURITIES, INC.
August 12, 2016 - August 3, 2017
MUTUAL ADVISORS, LLC
October 23, 2009 - September 11, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 11, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 9, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 16, 2004 - June 8, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 18, 2000 - November 3, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - May 2, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 22, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
