Samuel Richard Humphreys

Employer firm

Strategic Advisory Services CRD 287984

$201M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Selection of other advisers
• DERIVATIVES INVOLVING COVERED CALL OPTION STRATEGIES

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

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

Current Employers

Employment History

• 01/2000 → 08/2021
  Ubs Financial Services Inc.
  Memphis, TN
• 10/2021 → Present
  Strategic Advisory Services, Llc
  Memphis, TN
• 10/2022 → Present
  Lpl Financial Llc
  Memphis, TN

Previous Registrations

• 2000-08-14 → 2021-09-22
  Ubs Financial Services Inc.
  Memphis, TN
  Memphis, TN

Other Businesses

1) 10/2022- Strategic Wealth Management- DBA for LPL Business (entity for LPL business)- inv. related- Memphis, TN 2) 10/2022- Humphreys Specifics- Owner and operator; Selling antiques and collectibles- non-inv. related- Memphis, TN- start date 4/1972- 30-45 hrs/mth 3) 10/2022- Miramar Capital LLC- sole member- Business Entity For Tax/Investment Purposes Only- Real estate lending- non-inv. related- Memphis, TN -start date 7/2017 4) 10/2022- Real Estate Rental- owner/landlord- inv. related- 4747 Airline Rd. Arlington TN 38002- start date 7/2021- 5hrs/mth 5) 10/12/2022 - Strategic Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date - 4/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Strategic Advisory Services LLC, an independent investment advisor firm. I started this business activity in 10/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6) 10/20/2022 - Strategic Advisory Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date - 4/2022 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-03-30
• S63 Uniform Securities Agent State Law Examination
  1980-05-09

Other Names

• Rick Humphreys