Brett A. Hendrickson

NOKOMIS CAPITAL, L.L.C.

Dallas, TX 75202

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CRD#: 3105067

Professional summary

Brett Allen Hendrickson is a registered financial advisor currently at NOKOMIS CAPITAL, L.L.C. located in Dallas, Texas.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brett has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Allen Hendrickson'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®

None

Experience

Current

March 18, 2008 - Present

NOKOMIS CAPITAL, L.L.C.

Office #1: 1717 Mckinney Avenue Suite 850, Dallas, TX 75202

RIA

CRD#: 145627

Dallas, TX

Past

August 25, 1998 - December 4, 2002

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

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".

NOKOMIS CAPITAL, L.L.C.

CRD#: 145627 / SEC#: 801-74902

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

Texas

Registered Investment Advisory firm - (2/22/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(3/18/2008)

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 65

Date: 10/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/8/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/24/1998

General Securities Representative Examination

Current Firm

NOKOMIS CAPITAL, L.L.C.

CRD#: 145627 / SEC#: 801-74902

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

Texas

Registered Investment Advisory firm - (2/22/2013 Terminated)

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Contact information

Main Address

1717 Mckinney Avenue Suite 850, Dallas, TX 75202

Mailing Address

4347 West Northwest Highway Suite 130, Po Box 155, Dallas, TX 75220

Phone number

(972) 590-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NOKOMIS CAPITAL, L.L.C. - ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 621,196,000

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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Brett A. Hendrickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Allen Hendrickson's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOKOMIS CAPITAL, L.L.C.

B. RILEY & CO., LLC

Primary Firm SEC Registration

NOKOMIS CAPITAL, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2007

Series 63

Date: 9/8/1998

Series 7

Date: 8/24/1998

Current Firm

NOKOMIS CAPITAL, L.L.C.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOKOMIS CAPITAL, L.L.C.

TRUST BUT VERIFY

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