Mark Rough Humphreys

Employer firm

Lig Capital Management, LLC CRD 130489

$250M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• RETIREMENT PLAN CONSULTING AND ADVISORY

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2010 → Present
  Lig Capital Management, Llc
  Oklahoma City, OK

Previous Registrations

• 2006-02-28 → 2010-12-16
  Compass Wealth Management, Llc
  Oklahoma City, OK
• 2003-04-29 → 2009-11-18
  Phillips Capital Advisors, Inc.
  Oklahoma City, OK
• 2001-10-19 → 2003-05-09
  Prudential Equity Group, Llc
  Oklahoma City, OK

Other Businesses

1) MARK HUMPHREYS & ASSOCIATES, NON-INVESTMENT RELATED S-CORP, 2025 Worthington Lane, EDMOND, OK 73013, START DATE 2006, PRESIDENT, 1-2 HOURS PER MONTH, 0 HOURS PER MONTH DURING TRADING HOURS, GENERAL BUSINESS ADMINISTRATIVE DUTIES.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-10-01
• S63 Uniform Securities Agent State Law Examination
  1997-09-23