Unclaimed Profile

Mark Rough Humphreys

LIG CAPITAL MANAGEMENT, LLC·OKLAHOMA CITY, Oklahoma

Series 7, Series 9, Series 10, Series 31, Series 63, Series 65Clean record24 years registeredLIG CAPITAL MANAGEMENT, LLC

3503 N.W. 63RD STREET, OKLAHOMA CITY, OK 73116-2203CRD# 2934648Firm CRD# 130489

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Rough Humphreys · OKLAHOMA CITY, OK

Registration

CRD #2934648 · LIG CAPITAL MANAGEMENT, LLC · 24 years registered

Brand Profile

Not yet started

Career History

LIG CAPITAL MANAGEMENT, LLC

Dec 2010 – present

COMPASS WEALTH MANAGEMENT, LLC

Feb 2006 – Dec 2010

OKLAHOMA CITY, OK

PHILLIPS CAPITAL ADVISORS, INC.

Apr 2003 – Nov 2009

OKLAHOMA CITY, OK

PRUDENTIAL SECURITIES INCORPORATED

Oct 2001 – May 2003

OKLAHOMA CITY, OK

Registrations & Exams

FINRA examinations passed

Series 7

Series 9

Series 10

Series 31

Series 63

Series 65

Registration record

First registered · October 19, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

LIG CAPITAL MANAGEMENT, LLC

CRD 130489 · SEC 801-125846

AUM

$149M

Regulatory assets under management

Employees

625 client accounts

Services offered by LIG CAPITAL MANAGEMENT, LLC

Per Form ADV

Portfolio management (individuals)

Other

Client types served by the firm

Per Form ADV

Individuals

View all advisors at LIG CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Mark Rough Humphreys offer?

Mark Rough Humphreys specializes in Investment Management. Contact their office in OKLAHOMA CITY, Oklahoma for a consultation.

What are Mark Rough Humphreys's credentials?

Mark Rough Humphreys is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark Rough Humphreys located?

Mark Rough Humphreys is based in OKLAHOMA CITY, Oklahoma, working with LIG CAPITAL MANAGEMENT, LLC. Their office serves clients in the OKLAHOMA CITY metropolitan area and surrounding communities.

How does Mark Rough Humphreys charge for services?

Mark Rough Humphreys's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is LIG CAPITAL MANAGEMENT, LLC?

LIG CAPITAL MANAGEMENT, LLC has approximately 4 employees and manages $149M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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