Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
James Hoover Herndon III
James Herndon
CRD#: 7161324
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 150 E PONCE DE LEON AVE
STE 180
DECATUR, GA 30030-2543
Registration History
201920202021202220232024202520262 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Alabama 11/11/2020
B
Minnesota 1/29/2021
B
Arizona 3/8/2023
B
Missouri 7/26/2022
B
Arkansas 8/5/2021
B
Nebraska 5/10/2023
B
California 12/16/2019
B
Nevada 3/29/2021
B
District of Columbia 9/7/2021
B
New Jersey 8/11/2023
B
Florida 8/6/2020
B
New Mexico 12/21/2020
B
Georgia 10/14/2019
B
New York 11/11/2020
IA
Georgia 10/15/2019
B
North Carolina 11/11/2020
B
Illinois 12/16/2019
B
Oregon 6/10/2024
B
Kansas 4/17/2020
B
South Carolina 12/16/2019
B
Kentucky 1/12/2024
B
Texas 8/17/2020
B
Massachusetts 6/30/2020
IA
Texas 8/18/2020
B
Michigan 10/31/2022
B
Virginia 10/20/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
EDWARD JONES (CRD#:250)
150 E PONCE DE LEON AVE STE 180, DECATUR, GA 30030-2543
Registered with this firm since 10/15/2019
B
EDWARD JONES (CRD#:250)
150 E PONCE DE LEON AVE STE 180, DECATUR, GA 30030-2543
Registered with this firm since 9/21/2019
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.