Timothy J. Herrick

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CRD#: 6428415

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 James Herrick, who also goes by Tim J Herrick, Tim Herrick, Timothy J Herrick, Timothy Herrick, was a registered financial professional .

Timothy is a previously registered financial professional and started their career in finance in 2015. Timothy had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tim J Herrick | Tim Herrick | Timothy J Herrick | Timothy Herrick

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.

For profit or not for profit: Non-Profit Organization Name of outside business organization: Lord of Hosts World Outreach Investment related: N Address of business: Omaha, Nebraska 68137 Nature of business: Other,Church Position, title, association: Other, Serve as a security officer when needed. Start date of relationship: 12/31/2019 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Providing additional security at church. Conduct physical security checks of inside of church.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 5, 2025 - June 16, 2025

SMART WEALTH, LLC

RIA

CRD#: 315496

OMAHA, NE

Past

November 7, 2019 - December 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OMAHA, NE

Past

November 5, 2019 - December 5, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OMAHA, NE

Past

May 14, 2019 - August 15, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

OMAHA, NE

Past

May 13, 2019 - August 15, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

OMAHA, NE

Past

September 7, 2018 - January 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OMAHA, NE

Past

September 5, 2018 - January 10, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OMAHA, NE

Past

December 15, 2015 - July 19, 2018

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

October 23, 2015 - December 15, 2015

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

PAPILLION, NE

Past

March 12, 2015 - July 19, 2018

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

PAPILLION, NE

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".

SMART WEALTH, LLC

RETIRE SMART | SMART WEALTH, LLC

CRD#: 315496 / SEC#: 801-122372

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/2/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/15/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/17/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/11/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SMART WEALTH, LLC

RETIRE SMART | SMART WEALTH, LLC

CRD#: 315496 / SEC#: 801-122372

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

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Contact information

Main Address

13815 Fnb Parkway, Suite 400, Omaha, NE 68154

Mailing Address

Phone number

(402) 369-7777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMART WEALTH 2A (9/10/2025)

Regulatory assets under management

Total Number of Accounts	3,291
AUM (Assets Under Management)	$ 448,397,840

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Timothy J. Herrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

SMART WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/2/2015

Series 63

Date: 6/15/2015

Series 7TO

Date: 7/17/2019

SIE

Date: 10/1/2018

Series 6

Date: 3/11/2015

Current Firm

SMART WEALTH, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMART WEALTH, LLC

TRUST BUT VERIFY

Contact information

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