Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Emerson Humphrey is a financial advisor currently registered with LPL Financial LLC. Mark has been in the industry since 2001 and has a broad range of experience working with individuals, families, and businesses. Mark has held prior roles with Duncan-Williams, Inc., Wachovia Capital Markets, LLC, Wachovia Securities, LLC, HSBC Securities (USA) Inc., Credit Suisse First Boston Corporation, and BT Securities Corporation.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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
SC
08/27/2014 - Present
LPL Financial LLC (FORT MILL SC)
NC
06/13/2013 - 08/01/2014
DUNCAN-WILLIAMS, INC. (CHARLOTTE NC)
NC
07/01/2003 - 11/16/2007
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
06/25/2001 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/21/2001 - 06/25/2001
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
08/23/1996 - 05/02/2000
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NY
06/22/1995 - 09/01/1995
CS FIRST BOSTON CORPORATION (NEW YORK NY)
MD
10/01/1992 - 08/02/1994
BT SECURITIES CORPORATION (BALTIMORE MD)
BC
Issued 06/11/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/12/1996
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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