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Detailed Report
Timothy James Henderson
Tim Henderson, Timothy Henderson
CRD#: 3090032
IA
Investment Adviser
B
Broker
U.S. BANCORP INVESTMENTS, INC.CRD#: 17868 18300 Von Karman Ave
Irvine, CA 92612
Registration History
19952000200520102015202020252 FIRMS2005 - 2008 (2 years)2 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - Present (1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2011 - 2017 (6 years)BMORGAN STANLEY SMITH BARNEY (CRD# 149777)2010 - 2010 (<1 year)BAMERICAN SKANDIA MARKETING, INC. (CRD# 21570)2001 - 2003 (2 years)BONE ORCHARD EQUITIES, INC. (CRD# 42124)2001 - 2001 (<1 year)BJANUS DISTRIBUTORS, INC. (CRD# 28832)2000 - 2000 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2011 - 2012 (1 year)IAMORGAN STANLEY SMITH BARNEY LLC (CRD# 149777)2009 - 2010 (<1 year)IAAMERICAN SKANDIA ADVISORY SERV... (CRD# 109211)2003 - 2003 (<1 year)
Disclosure(s)
View By:
9/5/1994
Criminal
Final Disposition
7/11/1991
Criminal
Final Disposition
License(s)

State Registrations

B
California 11/20/2023
IA
California 11/20/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
18300 Von Karman Ave, Irvine, CA 92612
Registered with this firm since 11/20/2023
B
U.S. BANCORP INVESTMENTS, INC. (CRD#:17868)
18300 Von Karman Ave, Irvine, CA 92612
Registered with this firm since 11/20/2023
Previous Registration(s)
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IA
 10/17/2019 - 10/16/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 03/20/2019 - 10/16/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEWPORT BEACH, CA
B
 02/17/2011 - 03/28/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) IRVINE, CA
IA
 02/17/2011 - 05/15/2012 J.P. MORGAN SECURITIES LLC (CRD#:79) IRVINE, CA
IA
 06/03/2009 - 03/31/2010 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) LAGUNA NIGUEL, CA
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 01/29/2010 - 03/31/2010 MORGAN STANLEY SMITH BARNEY (CRD#:149777) PURCHASE, NY
IA
 09/13/2005 - 01/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DENVER, CO
B
 09/12/2005 - 01/24/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
 02/28/2003 - 09/30/2003 AMERICAN SKANDIA ADVISORY SERVICES, INC. (CRD#:109211) SHELTON, CT
B
 03/22/2001 - 09/30/2003 AMERICAN SKANDIA MARKETING, INC. (CRD#:21570) SHELTON, CT
B
 01/19/2001 - 02/22/2001 ONE ORCHARD EQUITIES, INC. (CRD#:42124) GREENWOOD VILLAGE, CO
B
 06/16/2000 - 11/17/2000 JANUS DISTRIBUTORS, INC. (CRD#:28832) DENVER, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.