Samuel Humphreys has been an investment adviser representative at Strategic Advisory Services since November 2021, and is not listed among the firm’s executive officers or direct owners.
Strategic Advisory Services, LLC is a Memphis, TN firm with $201M under management, 254 clients and 8 advisers across 3 offices, as of its August 2026 filing.
Samuel Humphreys’ longest registration was 21 years at UBS Financial Services Inc. (2000–2021). Before joining Strategic Advisory Services in 2021, Samuel Humphreys was registered through UBS Financial Services Inc.
- LPL Financial LLCAlso current– present · 4 yearsMemphis, TN · Adviser representative and broker · Firm CRD 6413
- Strategic Advisory ServicesCurrent– present · 4 yearsMemphis, TN · Adviser representative · Firm CRD 287984
- UBS Financial Services Inc.– · 21 yearsMemphis, TN · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Samuel Humphreys is registered as an investment adviser representative in Tennessee, since November 2021.
- TennesseeSince 22 November 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 13 December 1996 |
| Series 65 | Uniform Investment Adviser Law Examination | 30 March 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 May 1980 |
| PC | AMEX Put and Call Exam | 8 September 1977 |
| Series 7 | General Securities Representative Examination | 20 March 1976 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- AMEX Put and Call Exam
- Name
- General Securities Representative Examination
- Full name
- Samuel Richard Humphreys
- CRD
- 820181
- Firm
- Strategic Advisory Services · CRD 287984
- Office
- Memphis, TN
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 1976
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Samuel Humphreys work?
Samuel Humphreys is an investment adviser representative registered through Strategic Advisory Services, LLC since November 2021, and is not listed among the firm’s executive officers or direct owners.
Is Samuel Humphreys a financial advisor?
Yes. Samuel Humphreys has a current investment-adviser registration in Tennessee, through Strategic Advisory Services since November 2021.
How many years of experience does Samuel Humphreys have?
Samuel Humphreys has 50 years in the financial industry, since May 1976, across 3 adviser firms.
What exams has Samuel Humphreys passed?
Samuel Humphreys has passed 5 licensing exams: the Series 7, PC, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in March 1976. FINRA credited Samuel Humphreys with the SIE, which began in October 2018.
Where did Samuel Humphreys work before Strategic Advisory Services?
Before Strategic Advisory Services, Samuel Humphreys was registered through UBS Financial Services Inc., August 2000 to September 2021.
Where is Samuel Humphreys based?
Samuel Humphreys’ registered office is in Memphis, TN.
Is Samuel Humphreys registered with FINRA?
Yes. Samuel Humphreys has a current broker registration, under CRD 820181.
Source: FINRA BrokerCheck
How can I verify Samuel Humphreys’ record?
Search CRD 820181 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Samuel Humphreys’ full registration record.