Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn M. Humphries is a financial advisor who has been in the industry for over 18 years. John is currently registered with Wells Fargo Clearing Services, LLC, and has been with them since April 2012. Prior to this role, John worked for BBVA Compass Investment Solutions, Inc. and Guaranty Brokerage Services, Inc. John holds the Series 7 and Series 66 licenses and also holds the SIE exam. John specializes in investment consulting services for institutional clients, as well as financial planning and pension consulting for both businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
04/11/2012 - Present
Wells Fargo Clearing Services, LLC (BRYAN TX)
TX
02/09/2010 - 03/27/2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC (BRENHAM TX)
TX
01/04/2008 - 12/23/2009
GUARANTY BROKERAGE SERVICES, INC. (BRENHAM TX)
TX
10/12/2006 - 12/06/2007
COMPASS BROKERAGE, INC. (HOUSTON TX)
TX
05/26/2005 - 10/05/2006
AMERIPRISE FINANCIAL SERVICES, INC. (HOUSTON TX)
MN
05/26/2005 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 06/16/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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