The Humphreys Group is registered with the SEC, and that registration is renewed annually. The ADV Parts 2A and 2B (included below) are part of the registration process and are also updated annually. Copies of the complete ADV are always available on request, as well as on the SEC website.
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AML DISCLAIMER: The U.S. Patriot Act and federal law require broker-dealers to conduct anti-money laundering due diligence to verify that no client, no principal of a client nor any individual investor participating in purchase or sale of private securities (either as a private placement or a merger or acquisition) is identified by the U. S. Treasury’s Office of Foreign Asset Control (“OFAC”) as a “terrorist,” “specially designated national” or other “blocked person.” Consequently, any client of The Humphreys Group will be subject to all such necessary due diligence by the custodian of the client’s investment accounts to verify that no client, no principal of a client nor any individual investor participating in purchase or sale of private securities has been so identified by OFAC.