Troy S. Henington

HENINGTON GROUP RIA LLC

Lone Tree, CO

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CRD#: 2443484

Professional summary

Troy Scott Henington, CIMA®, who also goes by Troy S Henington, is a registered financial advisor currently at HENINGTON GROUP RIA LLC located in Lone Tree, Colorado.

Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Troy has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Troy S Henington

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) H&S Pay, LLC; Investment related: Yes; Location of the business: P.O. Box 632024 Littleton CO 80163-2024 US; Description of the business: The business actively manages a Trust; Position Title: Trustee; Responsibilities Duties: Oversee the Trust; Start date with business: 2022-10-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 40.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Scott Henington'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 26, 2023 - Present

HENINGTON GROUP RIA LLC

RIA

CRD#: 325208

Lone Tree, CO

Past

July 2, 2018 - December 31, 2022

SPC

RIA

CRD#: 110692

Greenwood Village, CO

Past

July 2, 2018 - December 31, 2022

PARKLAND SECURITIES, LLC

CRD#: 115368

Greenwood Village, CO

Past

August 4, 2017 - February 8, 2018

HAYDENROCK PORTFOLIOS LLC

RIA

CRD#: 287654

MARLTON, NJ

Past

June 17, 2016 - June 20, 2017

SPC

RIA

CRD#: 110692

Greenwood Village, CO

Past

June 17, 2016 - June 20, 2017

PARKLAND SECURITIES, LLC

CRD#: 115368

Greenwood Village, CO

Past

June 1, 2009 - July 15, 2016

MORGAN STANLEY

RIA

CRD#: 149777

GREENWOOD VILLAGE, CO

Past

June 1, 2009 - July 15, 2016

MORGAN STANLEY

CRD#: 149777

GREENWOOD VILLAGE, CO

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

CENTENNIAL, CO

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

CENTENNIAL, CO

Past

January 1, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CENTENNIAL, CO

Past

January 25, 1994 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

CENTENNIAL, CO

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

Colorado
(9/26/2023)

IAR

Texas
(10/2/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/3/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/11/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/24/1994

General Securities Representative Examination

Current Firm

HENINGTON GROUP RIA LLC

HENINGTON GROUP FINANCIAL | HENINGTON GROUP RIA LLC

CRD#: 325208 / SEC#:

Colorado

Registered Investment Advisory firm - (9/26/2023 Approved)

Texas

Registered Investment Advisory firm - (9/28/2023 Conditional Restricted)

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Contact information

Main Address

Lone Tree, CO

Mailing Address

Phone number

(303) 909-6037

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 34,137,060

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.

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Firm Stability Insights

Troy S. Henington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Troy Scott Henington's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

PARKLAND SECURITIES, LLC

HAYDENROCK PORTFOLIOS LLC

SPC

PARKLAND SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2008

Series 63

Date: 2/24/1994

SIE

Date: 10/1/2018

Series 31

Date: 12/11/2007

Series 7

Date: 1/24/1994

Current Firm

HENINGTON GROUP RIA LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HENINGTON GROUP RIA LLC

TRUST BUT VERIFY

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