Scott Humphrey

CLARIS ADVISORS

St. Louis, MO 63101-2501

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CRD#: 7713970

Professional summary

Scott Humphrey is a registered financial advisor currently at CLARIS ADVISORS, LLC located in St. Louis, Missouri.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Scott has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Scott Humphrey'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

December 23, 2024 - Present

CLARIS ADVISORS, LLC

Office #1: 800 Market Street Suite 500, St. Louis, MO 63101-2501

RIA

CRD#: 117734

St. Louis, MO

Past

December 14, 2023 - October 8, 2024

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

August 4, 2023 - October 25, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

St Louis, MO

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".

CLARIS ADVISORS, LLC

AMD FINANCIAL SERVICES LLC | CLARIS ADVISORS, LLC

CRD#: 117734 / SEC#: 801-66993

RIA

Registered Investment Advisory firm - (7/7/2006 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(12/23/2024)

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: 12/19/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/14/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/4/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/8/2023

Securities Industry Essentials Examination

Current Firm

CLARIS ADVISORS, LLC

AMD FINANCIAL SERVICES LLC | CLARIS ADVISORS, LLC

CRD#: 117734 / SEC#: 801-66993

RIA

Registered Investment Advisory firm - (7/7/2006 Approved)

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Contact information

Main Address

800 Market Street Suite 500, St. Louis, MO 63101-2501

Mailing Address

Phone number

(314) 655-5504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLARIS ADVISORS, LLC FORM ADV PART 2A (2/25/2025)

Regulatory assets under management

Total Number of Accounts	937
AUM (Assets Under Management)	$ 800,716,319

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/17/2023	Cover Page	Report
01/17/2023	Cover Page	Report

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

Scott Humphrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Humphrey's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

CLARIS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/19/2024

Series 63

Date: 8/14/2023

Series 7TO

Date: 8/4/2023

SIE

Date: 6/8/2023

Current Firm

CLARIS ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLARIS ADVISORS, LLC

TRUST BUT VERIFY

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