EH
Erin M. Humphrey
DWS DISTRIBUTORS
Jacksonville, FL 32256
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CRD#: 7566673
EH
Professional summary
Erin Marie Humphrey, who also goes by Erin Humphrey, Madison Humphrey, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Jacksonville, Florida.
Erin is registered as a RR (Registered Representative) and started their career in finance in 2023. Erin has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erin Humphrey | Madison Humphrey
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.
Florida Financial Advisors. Investment Related. Jacksonville, FL 32202. Nature of Business: RIA. Position: Financial Consultant. Start Date: 06/2023. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment-Related Activities. o Florida Financial Insurance. Not Investment Related. Jacksonville, FL 32202. Nature of Business: Fixed Insurance Sales. 06/2023. Hours per Month: 10 hours during trading. Duties: fixed insurance sales
CRS (Client Relationship Summary) - BD
Click below to view Erin Marie Humphrey's 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®
NoneExperience
Current
August 29, 2024 - Present
DWS DISTRIBUTORS, INC.
Office #1: 5201 Gate Parkway, Jacksonville, FL 32256BD
CRD#: 37306
Jacksonville, FL
Past
November 9, 2023 - June 4, 2024
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
Jacksonville, FL
Past
November 8, 2023 - June 4, 2024
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Jacksonville, FL
Past
June 16, 2023 - August 30, 2023
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Jacksonville, FL
Past
February 27, 2023 - April 24, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Temple Terrace, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Florida(8/29/2024)
RR
New York(8/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
DWS DISTRIBUTORS, INC.
CRD#: 37306Jacksonville, FL 32256TRUST BUT VERIFY
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