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Daniel R Humphrey Jr.

Edelman Financial Engines

Charlotte, NC

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-06
NC RA APPROVED 2020-08-26
  • TX RA
    APPROVED_RES
    Since 2023-01-06
  • NC RA
    APPROVED
    Since 2020-08-26

Branch Locations

13860 Ballantyne Corporate Place Suite 160, Charlotte, NC 28277 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Insurance Company Of America Charlotte NC 07/2015 11/2016
Pnc Investments Charlotte NC 11/2016 10/2017
Pnc Investments Charlotte NC 10/2017 08/2020
Financial Engines Advisors L.L.C Santa Clara CA 08/2020 Present
  • 07/2015 → 11/2016
    Prudential Insurance Company Of America
    Charlotte, NC
  • 11/2016 → 10/2017
    Pnc Investments
    Charlotte, NC
  • 10/2017 → 08/2020
    Pnc Investments
    Charlotte, NC
  • 08/2020 → Present
    Financial Engines Advisors L.L.C
    Santa Clara, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-26
S63 Uniform Securities Agent State Law Examination 2005-09-14
  • S66 Uniform Combined State Law Examination
    2016-02-26
  • S63 Uniform Securities Agent State Law Examination
    2005-09-14
Other Names
  • Daniel R Humphrey
  • Daniel R Humphrey
  • Daniel R Humphrey

View on SEC IAPD

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