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Detailed Report
Timothy James Herrick
TIM J HERRICK, TIM HERRICK, TIMOTHY J HERRICK, Timothy Herrick
CRD#: 6428415
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Investment Adviser
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Previous Broker
SMART WEALTH, LLCCRD#: 315496 13815 FNB PARKWAY, SUITE 400
OMAHA, NE 68154
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2018 (3 years)2 FIRMS2018 - 2019 (<1 year)2 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - 2023 (4 years)IASMART WEALTH, LLC (CRD# 315496)2025 - Present (<1 year)IAFIRST COMMAND FINANCIAL PLANNI... (CRD# 3641)2015 - 2015 (<1 year)
License(s)

State Registrations

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Arizona 3/5/2025
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Nevada 2/5/2025
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Colorado 2/6/2025
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Ohio 2/7/2025
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Iowa 2/6/2025
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South Carolina 2/12/2025
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Kentucky 2/14/2025
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Texas 2/5/2025
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Maryland 2/6/2025
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Virginia 2/10/2025
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Nebraska 2/5/2025
Current Registration(s)
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SMART WEALTH, LLC (CRD#:315496)
13815 FNB PARKWAY, SUITE 400, OMAHA, NE 68154
Registered with this firm since 2/5/2025
Previous Registration(s)
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 11/07/2019 - 12/05/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OMAHA, NE
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 11/05/2019 - 12/05/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OMAHA, NE
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 05/14/2019 - 08/15/2019 AXA ADVISORS, LLC (CRD#:6627) OMAHA, NE
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 05/13/2019 - 08/15/2019 AXA ADVISORS, LLC (CRD#:6627) OMAHA, NE
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 09/07/2018 - 01/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OMAHA, NE
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 09/05/2018 - 01/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OMAHA, NE
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 12/15/2015 - 07/19/2018 FIRST COMMAND ADVISORY SERVICES (CRD#:281958) FORT WORTH, TX
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 03/12/2015 - 07/19/2018 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) PAPILLION, NE
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 10/23/2015 - 12/15/2015 FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641) PAPILLION, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.