James Humphries

Louie is an experienced financial services professional with an intricate knowledge of options, margin trading—both traditional and portfolio margins—and advanced trading strategies. As a trading and IPO specialist at Charles Schwab & Company, he provided proactive account service to help his clients achieve their financial solutions and retirement goals. Prior experience in retail management developed his focus on strong customer service.

Louie works with Sheaff Brock clients to help them achieve their investment goals, with support from Administrative Coordinator Susan Williams. As Derivatives Portfolio Manager, he is also responsible for options strategy and management and trades for put and index income, while assisting in reporting trades and managing risk on trades for the firm’s separately managed accounts.

Louie received his degree in Public Affairs and his law degree from Indiana University and is a member of the Indiana Bar Association.