Timothy H. 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.
Timothy Holland Herndon, who also goes by Tim Herndon, Timothy H Herndon, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1998. Timothy had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2015 - September 20, 2016
FIRST HEARTLAND CAPITAL, INC.
October 12, 2015 - September 22, 2016
FIRST HEARTLAND CONSULTANTS, INC.
August 12, 2014 - December 4, 2014
OSAIC FS, INC.
August 12, 2014 - December 4, 2014
OSAIC FS, INC.
July 22, 2011 - January 25, 2013
PRUCO SECURITIES, LLC.
May 16, 2011 - January 25, 2013
PRUCO SECURITIES, LLC.
March 19, 2010 - May 3, 2011
ALLSTATE FINANCIAL SERVICES, LLC
July 2, 2008 - December 31, 2008
WOODBURY FINANCIAL SERVICES, INC.
July 2, 2008 - March 24, 2010
WOODBURY FINANCIAL SERVICES, INC.
February 27, 2007 - July 11, 2008
OSAIC FS, INC.
December 4, 2003 - July 11, 2008
OSAIC FS, INC.
March 9, 1999 - November 11, 2003
WALNUT STREET SECURITIES, INC.
December 2, 1998 - November 23, 1999
HAGAR FINANCIAL CORP.
March 5, 1998 - December 11, 1998
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
FIRST HEARTLAND CAPITAL, INC.
CRD#: 32460 / SEC#: , 8-46008
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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