Richard D. Henderson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Dana Henderson, AIF®, CFP®, who also goes by Rick Henderson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
February 4, 2021 - May 12, 2026
MERCER GLOBAL ADVISORS INC.
January 10, 2019 - May 12, 2021
ATLANTA FINANCIAL ASSOCIATES, LLC
August 28, 2018 - October 4, 2023
PURSHE KAPLAN STERLING INVESTMENTS
September 25, 2012 - December 31, 2018
ATLANTA FINANCIAL ASSOCIATES, LLC
July 9, 2003 - December 31, 2009
CORNERSTONE FINANCIAL ADVISORS, INC.
May 2, 2003 - August 27, 2018
COMMONWEALTH FINANCIAL NETWORK
February 16, 1999 - August 27, 2018
COMMONWEALTH FINANCIAL NETWORK
May 1, 1991 - February 19, 1999
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MERCER GLOBAL ADVISORS INC.
Sr. Wealth AdvisorCRD#: 147363TRUST BUT VERIFY
Monitor Richard Henderson
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