TH
Timothy D. Herndon
49 FINANCIAL
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 7756053
TH
Professional summary
Timothy Dean Jr Herndon Jr, who also goes by Dean Herndon, Timothy Dean Herndon Jr, Timothy Dean Herndon, is a registered financial advisor currently at 49 FINANCIAL located in Atlanta, Georgia.
Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Timothy has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dean Herndon | Timothy Dean Herndon Jr | Timothy Dean 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) Calavan Motors-KWA, LLC / not investment related / 1301 Thornton Rd, Lithia Springs, GA 30122 / Kia vehicle dealership / window tinter / tints windows of the cars that are placed on the lot to be sold to customers / 12/02/2023 / 36 hours per month / 0 hours during securities trading hours / tinting windows on Saturdays 2) Financial Independence Group; investment related; 3101 Cobb Pkwy, Unit 201 Atlanta GA 30339 United States; Fixed insurance sells when it fits a clients needs; Fixed insurance agent; Fixed Insurance Sales; Start date: 2023-06-12; 100 Hours per month all during trading hours. 3) 25 Giving; Not Investment related; 3711 S Mopac Expy, Ste. 150 Austin TX 78746; Refer nonprofits to 25 Giving so they can help develop charitable plans for donors of nonprofits; Contractor; Start date: 2025-02-20; 2 Hours per month/ 1 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Dean Jr Herndon Jr'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
May 9, 2024 - Present
49 FINANCIAL
Office #1: 3101 Cobb Pkwy Se Suite 124, Atlanta, GA 30339RIA
CRD#: 319484
Atlanta, GA
Past
July 23, 2024 - December 16, 2024
OAKWOOD CAPITAL SECURITIES, INC.
BD
CRD#: 21000
Atlanta, GA
Past
July 5, 2023 - January 10, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Atlanta, GA
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".
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 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
Georgia(5/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/5/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
49 FINANCIAL
49 FINANCIAL | GLADIATOR ADVISORS, LLC | 49 WEALTH MANAGEMENT, LLC
CRD#: 319484 / SEC#: 801-123687
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3711 S Mopac Expy Suite 150, Austin, TX 78746
Mailing Address
Phone number
(214) 563-1190
Established
Firm type
Fiscal year end
# of Employees
167
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,989 |
| AUM (Assets Under Management) | $ 871,379,407 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2025 |
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.
