Russell B. Herndon
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.
Russell Brent Herndon, who also goes by Brent Herndon, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1970. Russell had worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1998 - November 19, 2015
HERNDON PLANT OAKLEY, LTD.
August 21, 1998 - March 25, 2026
HERNDON PLANT OAKLEY, LTD.
March 2, 1998 - October 9, 1998
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 16, 1985 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
February 15, 1977 - September 27, 1985
ROTAN MOSLE INC.
May 1, 1970 - March 4, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 4/24/1970
Registered Representative ExaminationCurrent Firm
HERNDON PLANT OAKLEY, LTD.
CRD#: 44971 / SEC#: 801-55675, 8-50912
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 278 |
| AUM (Assets Under Management) | $ 110,586,400 |
Red Flags
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