Roy E. Humphrey

DAVID LERNER ASSOCIATES

Boca Raton, FL 33431

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CRD#: 6265375

Professional summary

Roy Elijah Humphrey JR, who also goes by Roy Elijah Humphrey Jr, Roy Elijah Humphrey, Roy Elijah Humphrey, Roy Humphrey, Todd Elijah Humphrey, Todd Humphrey, is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in Boca Raton, Florida.

Roy is registered as a RR (Registered Representative) and started their career in finance in 2014. Roy has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 56 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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. Tanaka, LLC - Engineering (Family Business) - No Compensation. 2. Coldflow Productions, LLC - Tech Company (Family Business) - No Compensation. 3. TrackiPal - Tech Company - Consultant

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roy Elijah Humphrey JR'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

August 13, 2025 - Present

DAVID LERNER ASSOCIATES, INC.

Office #1: 568 Yamato Rd. 3rd Floor, Boca Raton, FL 33431

CRD#: 5397

Boca Raton, FL

Past

August 22, 2024 - August 15, 2025

ABACUS CAPITAL ADVISORS

RIA

CRD#: 309295

PLANTATION, FL

Past

May 6, 2024 - August 12, 2024

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FT. LAUDERDALE, FL

Past

March 25, 2024 - August 12, 2024

EQUITABLE ADVISORS, LLC

CRD#: 6627

FT. LAUDERDALE, FL

Past

January 5, 2023 - August 14, 2023

SINGER WEALTH ADVISORS LLC

RIA

CRD#: 317218

Aventura, FL

Past

June 10, 2020 - January 4, 2023

SEMPER WEALTH MANAGEMENT LLC

RIA

CRD#: 305094

OVIEDO, FL

Past

August 20, 2014 - August 26, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

January 30, 2014 - August 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/16/2025)

Florida
(8/13/2025)

Louisiana
(9/16/2025)

New York
(9/1/2025)

Exams

State Security Law Exam

Series 63

Date: 8/30/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/4/2020

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/24/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/17/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 12/16/2013

Proprietary Trader Qualification Examination

SRO Registrations

FINRA

Current Firm

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397 / SEC#: , 8-20746

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006

Mailing Address

477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006

Phone number

(516) 921-4200

Established

New York since 11/06/1975

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LERNER, DAVID	SHAREHOLDER	307120
HOLEMAN, ALLEN BERNARD	CHIEF COMPLIANCE OFFICER	1060910
SANTOS, ERIKA VALERIA	FINOP	6218921
WALCOE, MARTIN KEVIN	PRESIDENT	1593935

Disclosures

Regulatory Event	22
Arbitration	19

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.

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Advisor Monitoring

Firm Stability Insights

Roy E. Humphrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roy Elijah Humphrey JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABACUS CAPITAL ADVISORS

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

SINGER WEALTH ADVISORS LLC

SEMPER WEALTH MANAGEMENT LLC

WTS PROPRIETARY TRADING GROUP LLC

WTS PROPRIETARY TRADING GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2025

Series 65

Date: 5/4/2020

Series 7TO

Date: 3/24/2024

SIE

Date: 1/17/2024

Series 56

Date: 12/16/2013

FINRA

Current Firm

DAVID LERNER ASSOCIATES, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DAVID LERNER ASSOCIATES, INC.

TRUST BUT VERIFY

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