Naomi T. Brock

HENDERSON FINANCIAL GROUP LLC

VIRGINIA BEACH, VA 23462

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CRD#: 5809247

Professional summary

Naomi T Brock is a registered financial advisor currently at HENDERSON FINANCIAL GROUP LLC located in Virginia Beach, Virginia.

Naomi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Naomi has worked at 3 firms and has passed the Series 65, Series 63, SIE 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.

1 - 11/2024 - Notary - Inv Related and Non Inv Related - VA 23320 - OBA Start Date: 04/29/2024.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Naomi T Brock's CRS (Customer Relationship Summary).

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

December 16, 2024 - Present

HENDERSON FINANCIAL GROUP LLC

Office #1: One Columbus Center Ste 540, Virginia Beach, VA 23462

RIA

CRD#: 333013

VIRGINIA BEACH, VA

Past

November 26, 2024 - April 22, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

VIRGINIA BEACH, VA

Past

November 10, 2010 - July 8, 2019

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

NORFOLK, VA

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".

HENDERSON FINANCIAL GROUP LLC

CRD#: 333013 / SEC#: 801-131512

RIA

Registered Investment Advisory firm - (11/26/2024 Approved)

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

Virginia
(12/16/2024)

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: 11/26/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/17/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2010

General Securities Representative Examination

Current Firm

HENDERSON FINANCIAL GROUP LLC

CRD#: 333013 / SEC#: 801-131512

RIA

Registered Investment Advisory firm - (11/26/2024 Approved)

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Contact information

Main Address

One Columbus Center Ste 540, Virginia Beach, VA 23462

Mailing Address

Phone number

(757) 314-4638

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/21/2025)

Regulatory assets under management

Total Number of Accounts	601
AUM (Assets Under Management)	$ 130,164,413

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

Naomi T. Brock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Naomi T Brock's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PNC WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

HENDERSON FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2024

Series 63

Date: 12/17/2010

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2010

Current Firm

HENDERSON FINANCIAL GROUP LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HENDERSON FINANCIAL GROUP LLC

TRUST BUT VERIFY

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