SH
Samuel R. Humphreys
STRATEGIC ADVISORY SERVICES
Memphis, TN
Some features on this profile are disabled
CRD#: 820181
SH
Professional summary
Samuel Richard Humphreys, who also goes by Rick Humphreys, is a registered financial advisor currently at STRATEGIC ADVISORY SERVICES located in Memphis, Tennessee and LPL FINANCIAL LLC located in Memphis, Tennessee.
Samuel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Samuel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, PC and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Humphreys
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) 10/2022- Strategic Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- Memphis, TN 2) 10/2022- Humphreys Specifics- Owner and operator; Selling antiques and collectibles- non-inv. related- Memphis, TN- start date 4/1972- 30-45 hrs/mth 3) 10/2022- Miramar Capital LLC- sole member- Business Entity For Tax/Investment Purposes Only- Real estate lending- non-inv. related- Memphis, TN -start date 7/2017 4) 10/2022- Real Estate Rental- owner/landlord- inv. related- 4747 Airline Rd. Arlington TN 38002- start date 7/2021- 5hrs/mth 5) 10/12/2022 - Strategic Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 4/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Strategic Advisory Services LLC, an independent investment advisor firm. I started this business activity in 10/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 10/20/2022 - Strategic Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date - 4/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Richard Humphreys'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
November 22, 2021 - Present
STRATEGIC ADVISORY SERVICES
RIA
CRD#: 287984
Memphis, TN
Current
October 10, 2022 - Present
LPL FINANCIAL LLC
Office #1: 6465 N Quail Hollow Rd Ste 301, Memphis, TN 38120RIA
BD
CRD#: 6413
Memphis, TN
Past
August 14, 2000 - September 22, 2021
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MEMPHIS, TN
Past
August 14, 2000 - September 22, 2021
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MEMPHIS, TN
Past
January 17, 1998 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
September 26, 1978 - January 16, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 1, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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".
SA
STRATEGIC ADVISORY SERVICES
STRATEGIC ADVISORY SERVICES | SWM ADVISORY SERVICES, LLC | SWM ADVISORY SERVICES | STRATEGIC WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT | STRATEGIC ADVISORY SERVICES, LLC
CRD#: 287984 / SEC#: 801-123188
RIA
Registered Investment Advisory firm - (3/16/2022 Approved)Tennessee
Registered Investment Advisory firm - (5/4/2022 Terminated)Texas
Registered Investment Advisory firm - (5/3/2022 Terminated)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.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
Alabama(10/11/2022)
RR
Georgia(10/13/2022)
RR
Michigan(11/14/2022)
RR
Mississippi(10/12/2022)
RR
Missouri(10/11/2022)
RR
North Carolina(10/11/2022)
RR
South Carolina(10/11/2022)
IAR
Tennessee(11/22/2021)
RR
Tennessee(10/10/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 9/8/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STRATEGIC ADVISORY SERVICES
STRATEGIC ADVISORY SERVICES | SWM ADVISORY SERVICES, LLC | SWM ADVISORY SERVICES | STRATEGIC WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT | STRATEGIC ADVISORY SERVICES, LLC
CRD#: 287984 / SEC#: 801-123188
RIA
Registered Investment Advisory firm - (3/16/2022 Approved)Tennessee
Registered Investment Advisory firm - (5/4/2022 Terminated)Texas
Registered Investment Advisory firm - (5/3/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6465 Quail Hollow Road Suite 301, Memphis, TN 38120
Mailing Address
Phone number
(901) 751-2025
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 546 |
| AUM (Assets Under Management) | $ 211,689,342 |
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.
