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RIA / WealthAdvisor38 years in industry

HOWARD NOEL HERRING

Advisor at ALLEGIANCE ADVISORS, INC

BURNET, TX

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Search this name across graphsid dfx:ria:863307ed-8c0e-8bb2-65ea-3e4bc14c0c48

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 22, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLEGIANCE ADVISORS, INC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 18, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 18, 1988
First registration: Aug 22, 2001
Dual registered: no
Other names: Howard Herring|Howard N Herring
IAPD individual key: 1725698

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLEGIANCE ADVISORS, INC	State registered	Jul 11, 2023	n/a	yes	BURNET, TX	Current employment
AGILE CAPITAL	Former SEC adviser	Jul 23, 2019	Dec 31, 2022	no	Austin, TX\|INDIANAPOLIS, IN	Previous registration
ALLEGIANCE ADVISORS, INC.	Former SEC adviser	Aug 28, 2014	Dec 31, 2017	no	AUSTIN, TX	Previous registration
PATTERSON & ASSOCIATES	Former SEC adviser	Aug 9, 2007	Jun 14, 2014	no	AUSTIN, TX	Previous registration
TEJAS SECURITIES GROUP, INC.	n/a	May 24, 2006	Sep 11, 2006	no	AUSTIN, TX	Previous registration
SWAN & HERRING, LLC	n/a	Aug 22, 2001	Dec 31, 2006	no	LAGUNA NIGUEL, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AGILE CAPITAL	ALLEGIANCE ADVISORS, INC	Dec 31, 2022	Jul 11, 2023	192	Firm change	Other
ALLEGIANCE ADVISORS, INC.	AGILE CAPITAL	Dec 31, 2017	Jul 23, 2019	569	Firm change after gap	Other
PATTERSON & ASSOCIATES	ALLEGIANCE ADVISORS, INC.	Jun 14, 2014	Aug 28, 2014	75	Firm change	Other
SWAN & HERRING, LLC	TEJAS SECURITIES GROUP, INC.	Dec 31, 2006	May 24, 2006	-221	Firm change after gap	Other
TEJAS SECURITIES GROUP, INC.	PATTERSON & ASSOCIATES	Sep 11, 2006	Aug 9, 2007	332	Firm change	Other

Relationships

Registered with (6)

→ ALLEGIANCE ADVISORS, INCRegistered adviserregistration: current employment
Jul 11, 2023 to presentfactForm ADV
→ AGILE CAPITALRegistered adviserregistration: previous registration
Jul 23, 2019 to Dec 31, 2022factForm ADV
→ ALLEGIANCE ADVISORS, INC.Registered adviserregistration: previous registration
Aug 28, 2014 to Dec 31, 2017factForm ADV
→ PATTERSON & ASSOCIATESRegistered adviserregistration: previous registration
Aug 9, 2007 to Jun 14, 2014factForm ADV
→ SWAN & HERRING, LLCRegistered adviserregistration: previous registration
Aug 22, 2001 to Dec 31, 2006factForm ADV
→ TEJAS SECURITIES GROUP, INC.Registered adviserregistration: previous registration
May 24, 2006 to Sep 11, 2006factForm ADV

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
Howard Noel Herring left Agile Capital for Allegiance Advisors, Inc (registered 2023-07-11)
Form ADVobserved 4 days ago