TH
Timothy J. Henderson
U.S. BANCORP INVESTMENTS
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 3090032
TH
Professional summary
Timothy James Henderson, who also goes by Tim Henderson, Timothy Henderson, is a registered financial advisor currently at U.S. BANCORP INVESTMENTS, INC. located in Irvine, California.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Timothy has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Henderson | Timothy Henderson
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.
AdvanceOC; Not investment-related; Tustin, CA; Data Analysis; Chairman of the Board; Chairman of the Board; 1/15/2023; 2 hours/mo; 0 hours/trading; Set the strategic priorities of the organization and representing the organization in the community.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy James Henderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy James 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®
NoneExperience
Current
November 20, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 18300 Von Karman Ave, Irvine, CA 92612RIA
BD
CRD#: 17868
Irvine, CA
Current
November 20, 2023 - Present
U.S. BANCORP INVESTMENTS, INC.
Office #1: 18300 Von Karman Ave, Irvine, CA 92612RIA
BD
CRD#: 17868
Irvine, CA
Past
October 17, 2019 - October 16, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEWPORT BEACH, CA
Past
March 20, 2019 - October 16, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEWPORT BEACH, CA
Past
February 17, 2011 - May 15, 2012
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
IRVINE, CA
Past
February 17, 2011 - March 28, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
IRVINE, CA
Past
January 29, 2010 - March 31, 2010
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
June 3, 2009 - March 31, 2010
MORGAN STANLEY
RIA
CRD#: 149777
LAGUNA NIGUEL, CA
Past
September 13, 2005 - January 24, 2008
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DENVER, CO
Past
September 12, 2005 - January 24, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 28, 2003 - September 30, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
RIA
CRD#: 109211
SHELTON, CT
Past
March 22, 2001 - September 30, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
January 19, 2001 - February 22, 2001
ONE ORCHARD EQUITIES, INC.
BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past
June 16, 2000 - November 17, 2000
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
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".
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)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
California(11/20/2023)
IAR
California(11/20/2023)
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
UB
U.S. BANCORP INVESTMENTS, INC.
CENTRAL INVESTMENT SERVICES, INC. | US BANCORP | U.S. BANCORP INVESTMENTS, INC. | U.S. BANCORP INVESTMENTS | FBS INVESTMENT SERVICES, INC.
CRD#: 17868 / SEC#: 801-68122, 8-35359
RIA
Registered Investment Advisory firm - SEC (7/23/2007 Approved)Arizona
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Arkansas
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)California
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/26/2007 Terminated)Idaho
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/23/2007 Terminated)Iowa
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/25/2007 Terminated)Missouri
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nebraska
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/15/2007 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Oregon
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Texas
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Utah
Registered Investment Advisory firm - SEC (8/23/2007 Terminated)Washington
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Mailing Address
60 Livingston Avenue Ep-mn-n2wc, Saint Paul, MN 55107
Phone number
(800) 888-4700
Established
Delaware since 02/25/1974
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,152
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | PARENT CORPORATION | |
| AHMAD, MASOOD | SENIOR VICE PRESIDENT, OPERATIONS MANAGER | 7887624 |
| BEJASA, EILEEN | DIRECTOR | 7002808 |
| CLARK, SHANNON KEITH | DIRECTOR AND CHIEF FINANCIAL OFFICER | 5829700 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 4120145 |
| FLOUM, JOEL IRA | DIRECTOR | 2405754 |
| LAWLOR, BETH D | DIRECTOR | 5352662 |
| MCCARTHY, MATTHEW RYAN | CHIEF LEGAL OFFICER | 6818984 |
| MOLLOY, JOHN WILLIAM JR. | DIRECTOR | 1939358 |
| ROLLAND, JODI THOMPSON | DIRECTOR | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER, DIRECTOR | 5025315 |
| STEGEMEYER, STEPHEN KYLE | DIRECTOR | 2793064 |
| STEINER, STEPHEN WARD | CHIEF OPERATING OFFICER, SENIOR VICE PRESIDENT AND DIRECTOR | 2259345 |
| WHANG, JAMES | DIRECTOR | 2737019 |
Regulatory assets under management
| Total Number of Accounts | 66,996 |
| AUM (Assets Under Management) | $ 19,296,734,956 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 12 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2024 | ||
| 11/21/2023 |
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.
