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William Howard Humphrey

LPl Financial LLC

Parkersburg, WV

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
WV RA APPROVED 2025-01-29
TX RA APPROVED_RES 2025-01-24
  • WV RA
    APPROVED
    Since 2025-01-29
  • TX RA
    APPROVED_RES
    Since 2025-01-24

Branch Locations

417 Grand Park Dr., Ste. 105, Parkersburg, WV 26105 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Parkersburg WV 08/2012 11/2016
Wells Fargo Clearing Services, Llc Parkersburg WV 11/2016 01/2025
Lpl Financial Llc Parkersburg WV 01/2025 Present
Previous Registrations
Other Businesses

1-12/2024 / North Bend Wealth Management / DBA for LPL Business (entity for LPL business) / INV RLTD / 160 HRS MNTH / 8 HRS DURING TRADING / START 01/24/2025

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-04
S63 Uniform Securities Agent State Law Examination 1992-10-23
  • S65 Uniform Investment Adviser Law Examination
    1992-12-04
  • S63 Uniform Securities Agent State Law Examination
    1992-10-23
Other Names
  • Howard Humphrey

View on SEC IAPD

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