Timothy James Herrick - Investment Adviser at SMART WEALTH, LLC

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Detailed ReportReport

Timothy James Herrick

TIM J HERRICK, TIM HERRICK, TIMOTHY J HERRICK, Timothy Herrick

CRD#: 6428415

Investment Adviser

Previous Broker

SMART WEALTH, LLCCRD#: 315496

13815 FNB PARKWAY, SUITE 400
OMAHA, NE 68154

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Arizona 3/5/2025

Nevada 2/5/2025

Colorado 2/6/2025

Ohio 2/7/2025

Iowa 2/6/2025

South Carolina 2/12/2025

Kentucky 2/14/2025

Texas 2/5/2025

Maryland 2/6/2025

Virginia 2/10/2025

Nebraska 2/5/2025

Current Registration(s)

SMART WEALTH, LLC (CRD#:315496)

13815 FNB PARKWAY, SUITE 400, OMAHA, NE 68154

Registered with this firm since 2/5/2025

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	11/07/2019 - 12/05/2023	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	OMAHA, NE
B	11/05/2019 - 12/05/2023	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	OMAHA, NE
IA	05/14/2019 - 08/15/2019	AXA ADVISORS, LLC (CRD#:6627)	OMAHA, NE
B	05/13/2019 - 08/15/2019	AXA ADVISORS, LLC (CRD#:6627)	OMAHA, NE
IA	09/07/2018 - 01/10/2019	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	OMAHA, NE
B	09/05/2018 - 01/10/2019	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	OMAHA, NE
IA	12/15/2015 - 07/19/2018	FIRST COMMAND ADVISORY SERVICES (CRD#:281958)	FORT WORTH, TX
B	03/12/2015 - 07/19/2018	FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641)	PAPILLION, NE
IA	10/23/2015 - 12/15/2015	FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641)	PAPILLION, NE

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

OMAHA, NE

11/07/2019 - 12/05/2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

OMAHA, NE

11/05/2019 - 12/05/2023

AXA ADVISORS, LLC (CRD#:6627)

OMAHA, NE

05/14/2019 - 08/15/2019

AXA ADVISORS, LLC (CRD#:6627)

OMAHA, NE

05/13/2019 - 08/15/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

OMAHA, NE

09/07/2018 - 01/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

OMAHA, NE

09/05/2018 - 01/10/2019

FIRST COMMAND ADVISORY SERVICES (CRD#:281958)

FORT WORTH, TX

12/15/2015 - 07/19/2018

FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641)

PAPILLION, NE

03/12/2015 - 07/19/2018

FIRST COMMAND FINANCIAL PLANNING, INC. (CRD#:3641)

PAPILLION, NE

10/23/2015 - 12/15/2015

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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.

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.