Samuel Richard Humphreys
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Humphreys
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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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LPL FINANCIAL LLC
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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.
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Years of Experience
50 years registered in the securities industry
Current & Past Employments
Current
Past
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LPL FINANCIAL LLC
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Current Firm
STRATEGIC ADVISORY SERVICES | SWM ADVISORY SERVICES, LLC | SWM ADVISORY SERVICES | STRATEGIC WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT | STRATEGIC ADVISORY SERVICES, LLC
Contact Information
Main Address
6465 Quail Hollow Road Suite 301, Memphis, TN 38120Phone Number
(901) 751-2025# of Employees
10SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
464AUM (Assets Under Management)
$201,174,393Similar Advisors
LPL FINANCIAL LLC
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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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LPL FINANCIAL LLC
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Primary Firm SEC Registration
STRATEGIC ADVISORY SERVICES | SWM ADVISORY SERVICES, LLC | SWM ADVISORY SERVICES | STRATEGIC WEALTH MANAGEMENT, LLC | STRATEGIC WEALTH MANAGEMENT | STRATEGIC ADVISORY SERVICES, LLC
State Registrations and Notice Filings
(10/11/2022)
(10/13/2022)
(11/14/2022)
(10/12/2022)
(10/11/2022)
(10/11/2022)
(10/11/2022)
(11/22/2021)
(10/10/2022)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Sep 1977SRO Registrations
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LPL FINANCIAL LLC
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CRS (Client Relationship Summary) - RIA
Click below to view Samuel Richard Humphreys's CRS (Customer Relationship Summary).
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LPL FINANCIAL LLC
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