Richard Humphreys, financial advisor Greenville SC
83 score

Richard Humphreys

CRD Number: 3179578
Current Firm: Novus Advisors

Richard Humphreys (CRD# 3179578) is an Investment Advisor Representative working at Novus Advisors in Greenville, SC and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Novus Advisors Greenville, SC Jan 2017 - Current 1
Charles Schwab Bank Greenville, SC Feb 2005 - Jan 2017 11
Charles Schwab & Company, Inc. Greenville, SC Jan 1999 - Jan 2017 18
Temple Baptist Church Simpsonville, SC Aug 2007 - Jan 2010 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1999
S66 NASAA Uniform Combined State Law Examination Dec 2000
Disclosure Information

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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard A. Humphreys
Phone Number: 864-272-3579
Firm Website:
Registered State(s):
  • SC
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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