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Overview

Services

Advisor Services

  • Legal
    • -Other Legal

Funds

Firm Client types

Qualifications

Experience

No timeline events available.
Employer Years Dates
Lincoln Investment Planning, LLC 8 months, 3 weeks Jan 2019 - Present
The Prudential Insurance Company of America 3 months Jul 2018 - Oct 2018
Pruco Securities, LLC 3 months Jul 2018 - Oct 2018
Mml Investors Services 2 months Apr 2018 - Jun 2018
Massmutual 4 months Feb 2018 - Jun 2018
Lincoln Investment Planning, LLC 2 years, 2 months Dec 2015 - Feb 2018
Pruco Securities LLC 5 months Apr 2015 - Sep 2015
Beacon Trust Co. 2 years, 3 months Jul 2012 - Oct 2014
Bny Mellon 5 years, 2 months May 2007 - Jul 2012

Designations & Memberships

  • Chartered Financial Analyst Institute
    Membership
    Chartered Financial Analyst Institute
  • Chartered Financial Analyst
    Designation
    Chartered Financial Analyst
    Widely considered the gold standard for investment professionals, this six decade old charter is only given to designees who can demonstrate competence, integrity, and dedication to the field of investment management.

Articles and Answers

Insights by Stephen Humphrey

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Answers

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Licenses & Conducts

SEC
U.S. Securities and Exchange Commission
  • license status
    Registered
  • disclosures
    None
  • as of date
    Jan 16, 2019
FINRA
FINRA
  • license status
    Registered
  • disclosures
    None
  • as of date
    Jan 16, 2019
Review the status and details of the disclosures noted above using the SEC's Investment Advisor Public Disclosure website:

Assets

Capital Analysts

Last updated on March 29, 2019
    • $4.4B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 18K
      Accounts
    • $250.3K
      Estimated Average Account Balance

Fees

Types of Compensation Arrangements

  • Percentage Of Assets
  • Hourly Charges
  • Fixed Fees