Roy Elijah Humphrey
Professional Summary
Roy Elijah Humphrey, 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 advisor 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Roy Elijah Humphrey Jr, Roy Elijah Humphrey, Roy Elijah Humphrey, Roy Humphrey, Todd Elijah Humphrey, Todd Humphrey
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
DAVID LERNER ASSOCIATES, INC.
Contact Information
Main Address
477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006Mailing Address
477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006Phone Number
(516) 921-4200Established
New York since 11/06/1975Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
24Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/16/2025)
(8/13/2025)
(9/1/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 56 — Proprietary Trader Qualification Examination
Passed Dec 2013SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Roy Elijah Humphrey's CRS (Customer Relationship Summary).
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