Eric L. Humphries
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.
Eric L Humphries, who also goes by Eric Lynn Humphries, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2005. Eric had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2018 - January 30, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 30, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
July 25, 2012 - January 22, 2020
FIDELITY BROKERAGE SERVICES LLC
October 20, 2011 - December 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 5, 2011 - December 7, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2008 - September 2, 2010
E*TRADE SECURITIES LLC
April 6, 2006 - January 14, 2008
WELLS FARGO INVESTMENTS, LLC
April 6, 2006 - January 14, 2008
WELLS FARGO INVESTMENTS, LLC
July 26, 2005 - February 22, 2006
IDS LIFE INSURANCE COMPANY
July 26, 2005 - February 22, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
