Jacob L. Humphrey

AE FINANCIAL SERVICES

Topeka, KS 66614

Some features on this profile are disabled

CRD#: 7785347

Professional summary

Jacob Lawrence Humphrey is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in Topeka, Kansas and MADISON AVENUE SECURITIES, LLC located in Topeka, Kansas.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2025. Jacob has worked at 2 firms and has passed the Series 7TO, SIE and Series 24 exams.

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) - BD

Click below to view Jacob Lawrence 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

January 25, 2025 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 2950 Sw Mcclure Rd Ste B, Topeka, KS 66614

CRD#: 298608

Topeka, KS

Current

June 2, 2026 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 2950 Sw Mcclure Road Suite B, Topeka, KS 66614

RIA

CRD#: 23224

Topeka, KS

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".

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 7TO

Date: 1/24/2025

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/1/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 4/7/2026

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MADISON AVENUE SECURITIES, LLC

ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES

CRD#: 23224 / SEC#: 801-69919, 8-40426

RIA

Registered Investment Advisory firm - SEC (2/24/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Mailing Address

13500 Evening Creek Dr N #555, San Diego, CA 92128

Phone number

(858) 207-1300

Established

Delaware since 05/05/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MADISON AVENUE SECURITIES FORM ADV PART 2A 3-26-2025 (10/3/2025)

MADISON AVENUE SECURITIES WRAP PROGRAM BROCHURE 3-26-2025 (10/3/2025)

Direct owners and executive officers

Name	Position	CRD#
KT EQUITY PARTNERS II, LLC	DIRECT OWNER
CALLANAN, DAVID JAMES	MANAGER	4237166
FIXSEN, VILAYPHONE	CHIEF OPERATING OFFICER	4585926
JENSEN, GAIL MARIE	DEPUTY CHIEF COMPLIANCE OFFICER	1943705
MCNEES, MARTIN WILLIAM	PRESIDENT	3168410
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
WOODS, SANDRA ANN	FINOP	6200533

Regulatory assets under management

Total Number of Accounts	14,100
AUM (Assets Under Management)	$ 2,038,801,712

Disclosures

Regulatory Event	8
Arbitration	1

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.

Similar Advisors

Blake Flanders

MOMENTUM WEALTH PLANNING

IAR

ESTERO, FL

James Todd

MORGAN STANLEY

IAR

Tuscaloosa, AL

Kurt Knotts-simmons

PRIMERICA BROKERAGE SERVICES, INC.

DULUTH, GA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jacob L. Humphrey

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

Primary Firm SEC Registration

MADISON AVENUE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 7TO

Date: 1/24/2025

SIE

Date: 11/1/2023

Series 24

Date: 4/7/2026

FINRA

Current Firm

MADISON AVENUE SECURITIES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MADISON AVENUE SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors