DH
Dale L. Herndon
STIFEL INDEPENDENT ADVISORS
Holmes Beach, FL
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CRD#: 3086142
DH
Professional summary
Dale Louie Herndon, who also goes by Dale L Herndon, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Holmes Beach, Florida.
Dale is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dale has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dale L Herndon
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. Herndon Wealth Management; 7275 Glen Forest Drive Suite 203, Richmond, VA 23226; Financial Services; Owner of LLC; 12/16/2021; 8 Hours per Day; During Securities Trading Hours; Investment-Related. 2.Herndon Wealth Management; 7275 Glen Forest Drive Suite 203, Richmond, VA 23226; Financial Services; Trustee for 401K Plan; 01/12/2017; 8 Hours per Day; During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Dale Louie Herndon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dale Louie Herndon'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®
NoneExperience
Current
November 15, 2021 - Present
STIFEL INDEPENDENT ADVISORS, LLC
RIA
BD
CRD#: 28218
Holmes Beach, FL
Current
November 15, 2021 - Present
STIFEL INDEPENDENT ADVISORS, LLC
RIA
BD
CRD#: 28218
Holmes Beach, FL
Past
January 6, 2017 - November 17, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
RICHMOND, VA
Past
January 6, 2017 - November 17, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
RICHMOND, VA
Past
January 17, 2003 - January 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RICHMOND, VA
Past
January 17, 2003 - January 6, 2017
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RICHMOND, VA
Past
February 4, 2002 - January 24, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
RICHMOND, VA
Past
August 23, 1999 - January 24, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 8, 1998 - August 29, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(7/19/2022)
RR
Florida(11/15/2021)
IAR
Florida(2/6/2024)
RR
Georgia(11/15/2021)
RR
Illinois(11/15/2021)
RR
New Jersey(6/28/2022)
RR
New York(11/15/2021)
RR
North Carolina(11/15/2021)
RR
Pennsylvania(11/15/2021)
RR
Rhode Island(5/28/2025)
RR
South Carolina(11/15/2021)
RR
Texas(11/15/2021)
IAR
Texas(11/15/2021)
RR
Virginia(11/15/2021)
IAR
Virginia(11/15/2021)
RR
Washington(1/24/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
