Richard HumphriesCRD Number: 3052089
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Richard Humphries (CRD# 3052089) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Encino, CA and has over 23 years of experience in the finance industry.
Awm Capital, LLC
Wealth Management Partners Of Los Angeles
Quantum Financial Advisors, LLC
|Bank Of America,na||Encino, CA||Sep 2009 - Current||12|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Encino, CA||Jan 1998 - Current||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1999|
|S65||NASAA Investment Advisors Law Examination||Feb 1999|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.Get Details on the FINRA Advisor Check site
Total Assets Under Management1,283,838MILLIONS
Total Number of Accounts2,825,602ACCOUNTS
Average Account Value$454,359
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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