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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Starr Humphrey is a financial advisor currently working at UBS Financial Services Inc. in New London, CT. Humphrey has been in the industry since 1968 and is registered to provide investment advice in Connecticut, Florida, and Texas. Humphrey also holds a number of professional certifications, including Series 7, 10, 9, 52, 63, 65, and SIE. Humphrey is also a member of the board of directors of the Westerly Hospital Foundation.
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.
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.
See schedule d - miscellaneous
1
2
CT
03/14/2016 - Present
UBS Financial Services Inc. (NEW LONDON CT)
NA
08/13/1981 - 12/12/1985
E. F. HUTTON & COMPANY INC
NA
04/04/1974 - 08/14/1981
ADVEST, INC.
NA
04/26/1974 - 05/29/1974
MOSELEY, HALLGARTEN & ESTABROOK INC.
NA
04/06/1972 - 04/26/1974
F. S. MOSELEY & CO.
NA
01/01/1969 - 04/30/1972
ADVEST, INC.
IA
Issued 11/04/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/24/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/12/1981
Series 12 - NYSE Branch Manager Examination
BC
Issued 05/12/1981
Series 4 - Registered Options Principal Examination
BC
Issued 04/22/1981
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/23/1968
Series 000 - General Securities Principal Examination
BC
Issued 12/23/1968
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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