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Gaines M. Henderson
THE KEYSTONE FINANCIAL ALLIANCE
Atlanta, GA 30339
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CRD#: 242724
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Professional summary
Gaines Morris Henderson, CFP® is a registered financial advisor currently at THE KEYSTONE FINANCIAL ALLIANCE, LLC located in Atlanta, Georgia.
Gaines is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1972. Gaines has worked at 5 firms and has passed the Series 65, Series 63, Series 3, PC, Series 000, Series 1 and Series 8 exams.
Question & Answer
What are your service offerings?
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) COBB CUMMUNITY FOUNDATION, BOARD OF DIRECTORS, (2)NORTH GEORGIA UNITED METHODIST CHURCH BOARD OF PENSIONS AND HEALTH BENEFITS, CHAIR OF THE BOARD, 4 HRS A MNTH, 4 HRS A MNTH DURING BUSINESS HRS, (3) CAMP GLISSON, CO CHAIR CAPITAL CAMPAIGN, 4 HRS A MNTH, 0 HRS A MNTH DURING BUSINESS HRS (4)NORTH GEORGIA UNITED METHODIST CHURCH BOARD OF PENSIONS AND HEALTH BENEFITS, GENERAL MEMBER AND CHAIR OF THE BOARD, 4 HRS A MNTH, 4 HRS A MNTH DURING BUSINESS HRS (5) KENNESTONE HOSPITAL REGIONAL ADVISORY GROUP, GENERAL BOARD MEMBER (6) MCEACHERN MEMORIAL UNITED METHODIST CHURCH, GENERAL VOLUNTEER AND CHAIR OF THE SPRC COMMITTEE, 8 HRS A MNTH , 4 HRS A MNTH DURING BUSINESS HRS
(7)GEORGIA UNITED METHODIST FOUNDATION - NORCROSS, GA, BOARD MEMBER & SIT ON INVESTMENT OVERSITE COMMITTEE
CRS (Client Relationship Summary) - RIA
Click below to view Gaines Morris Henderson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1984
Experience
Current
October 1, 2013 - Present
THE KEYSTONE FINANCIAL ALLIANCE, LLC
Office #1: 3350 Riverwood Parkway Suite #2200, Atlanta, GA 30339RIA
CRD#: 168760
Atlanta, GA
Past
May 1, 2003 - October 2, 2013
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ATLANTA, GA
Past
March 20, 1984 - October 2, 2013
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ATLANTA, GA
Past
August 18, 1980 - March 9, 1984
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
Past
January 31, 1980 - September 15, 1980
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
November 27, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TK
THE KEYSTONE FINANCIAL ALLIANCE, LLC
KEYSTONE FINANCIAL ALLIANCE, LLC | THE KEYSTONE FINANCIAL ALLIANCE, LLC
CRD#: 168760 / SEC#: 801-115035
RIA
Registered Investment Advisory firm - (4/17/2019 Approved)Alabama
Registered Investment Advisory firm - (7/26/2019 Terminated)Florida
Registered Investment Advisory firm - (7/26/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Alabama(10/16/2014)
IAR
Florida(3/26/2014)
IAR
Georgia(10/1/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 12/31/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 11/21/1972
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 11/21/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 8
Date: 6/19/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TK
THE KEYSTONE FINANCIAL ALLIANCE, LLC
KEYSTONE FINANCIAL ALLIANCE, LLC | THE KEYSTONE FINANCIAL ALLIANCE, LLC
CRD#: 168760 / SEC#: 801-115035
RIA
Registered Investment Advisory firm - (4/17/2019 Approved)Alabama
Registered Investment Advisory firm - (7/26/2019 Terminated)Florida
Registered Investment Advisory firm - (7/26/2019 Terminated)Georgia
Registered Investment Advisory firm - (8/23/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3350 Riverwood Parkway Suite #2200, Atlanta, GA 30339
Mailing Address
Phone number
(404) 260-0710
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 427 |
| AUM (Assets Under Management) | $ 153,700,000 |
Red Flags
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Company Information
THE KEYSTONE FINANCIAL ALLIANCE, LLC
CRD#: 168760Atlanta, GA 30339TRUST BUT VERIFY
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Contact information
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