Linda V. Humphrey

Some features on this profile are disabled

CRD#: 4094969

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.

Linda Viktoria Humphrey, who also goes by Linda Humphrey, Linda Marton, was a registered financial professional .

Linda is a previously registered financial professional and started their career in finance in 2000. Linda had worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Linda Humphrey | Linda Marton

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 15, 2011 - March 27, 2012

YOSEMITE CAPITAL MANAGEMENT

RIA

CRD#: 124298

TUSTIN, CA

Past

October 21, 2011 - April 13, 2012

SYNDICATED CAPITAL, INC.

CRD#: 29037

TUSTIN, CA

Past

May 8, 2009 - September 29, 2009

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CARLSBAD, CA

Past

December 11, 2004 - April 7, 2009

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

IRVINE, CA

Past

September 25, 2002 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

April 30, 2002 - September 10, 2002

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

March 7, 2000 - July 11, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

YOSEMITE CAPITAL MANAGEMENT

YOSEMITE CAPITAL MANAGEMENT | YOSEMITE CAPITAL MANAGEMENT, LLC

CRD#: 124298 / SEC#: 801-62374

RIA

Registered Investment Advisory firm - (9/26/2003 Approved)

California

Registered Investment Advisory firm - (9/26/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 2/29/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/16/2000

General Securities Representative Examination

Current Firm

YOSEMITE CAPITAL MANAGEMENT

YOSEMITE CAPITAL MANAGEMENT | YOSEMITE CAPITAL MANAGEMENT, LLC

CRD#: 124298 / SEC#: 801-62374

RIA

Registered Investment Advisory firm - (9/26/2003 Approved)

California

Registered Investment Advisory firm - (9/26/2003 Terminated)

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

5120 Birch Street Suite 100, Newport Beach, CA 92660

Mailing Address

Phone number

(714) 730-3310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

YOSEMITE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	806
AUM (Assets Under Management)	$ 340,226,200

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Linda V. Humphrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

YOSEMITE CAPITAL MANAGEMENT

SYNDICATED CAPITAL, INC.

KESTRA INVESTMENT SERVICES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

YOSEMITE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 2/29/2000

Series 7

Date: 2/16/2000

Current Firm

YOSEMITE CAPITAL MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

YOSEMITE CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors