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Samuel Richard Humphreys

Strategic Advisory Services

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About Samuel Richard Humphreys

Samuel Richard Humphreys is a financial advisor with over 40 years of experience in the industry. Samuel is registered with Strategic Advisory Services, an independent investment advisor firm. His firm's investment advisory services are separate from and independent of LPL Financial. Samuel has been a registered representative of Strategic Advisory Services since October 2021. He is also a registered investment advisor representative in Tennessee. Prior to joining Strategic Advisory Services, Samuel was a financial advisor at UBS Financial Services Inc. for over 20 years.

Firm Information

Samuel Humphreys is currently registered with Strategic Advisory Services. Strategic Advisory Services is a registered investment advisor with the SEC based in Memphis, TN. They have 3 licensed agents, 10 investment advisor representatives, 6 registered representatives, 10 investment advisory functions, and 4 advisor representatives for other investment advisors. They provide advisory services in portfolio management for individuals, selection of other advisers, and other services that include derivatives involving covered call option strategies. They manage approximately $177,512,000 in discretionary assets for 525 accounts. Their client base consists of 47 high-net-worth individuals, 140 individuals other than high-net-worth, and 2 charitable organizations.
Strategic Advisory Services

6465 QUAIL HOLLOW ROAD

MEMPHIS, TN 38120

$177.51M

Assets Under Management

120

Total Clients

11

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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derivatives involving covered call option strategies

Derivatives involving covered call option strategies

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Samuel Humphreys’s Registration & Firm History

TN

11/22/2021 - Present

Strategic Advisory Services (Memphis TN)

TN

08/14/2000 - 09/22/2021

UBS FINANCIAL SERVICES INC. (MEMPHIS TN)

NY

01/17/1998 - 08/14/2000

J.C. BRADFORD & CO. (NEW YORK NY)

NY

09/26/1978 - 01/16/1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NA

04/01/1976 - 09/26/1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

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Licenses & Designations

IA

Issued 03/30/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/09/1980

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/1996

Series 31 - Futures Managed Funds Examination

BC

Issued 09/08/1977

PC - AMEX Put and Call Exam

BC

Issued 03/20/1976

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Samuel Richard Humphreys. Review regulatory record here.
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