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Gene J. Heino

Some features on this profile are disabled
CRD#: 1186900
GH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gene John Heino was a registered financial professional .

Gene is a previously registered financial professional and started their career in finance in 1983. Gene had worked at 5 firms and has passed the Series 66, Series 7, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
*FINANCIA INC, INSURANCE SERVICES INSURANCE SALES. NOT INV REL. 2552 WALNUT AVE STE 140 TUSTIN, CA 92780. INSURANCE SALES AGENT. 1/1/1994 TO PRESENT. 20 HR/MO DURING TRADING HOURS. BROKER FOR MANY COMPANIES TO SELL LIFE, DISABILITY, HEALTH, PROPERTY AND CASUALTY. INSURANCE. *GENE HEINO INC. INSURANCE SERVICES. NOT INV REL, TUSTIN, CA. INSURANCE SALES. PRESIDENT. 1/22/2002 TO - PRESENT. 50 HR/MO DURING TRADING HOURS. LICENSED INSURANCE BROKER FOR CARRIERS PROVIDING LIFE, HEALTH, DISABILITY, LTC INSURANCE. *ISU INSURANCE SERVICES INC. NOT INV REL. LADERA RANCH, CA. SELL PROP/CAUS INSURANCE. REFER A CLIENT OR PROSPECT TO THEM. 4/2008-PRES.1HR/MO. NOT DUR TRD HRS *KELLY RISK MGMT AND INSURANCE SERVICES. INC. INV REL.IRVINE,CA.PROP/CASUALTY INS.REFERRALS. 2/2010-PRES. 1HR/MO.DUR TRD HRS. I WOULD REFER A CLIENT TO BRIAN KELLY AND HE WOULD HANDLE IT FROM THERE.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 25, 2017 - December 2, 2024

KFICO, LLC REGISTERED INVESTMENT ADVISOR

RIA
CRD#: 155673
TUSTIN, CA
Past

January 6, 2011 - December 31, 2016

KFICO, LLC REGISTERED INVESTMENT ADVISOR

RIA
CRD#: 155673
TUSTIN, CA
Past

November 23, 2010 - May 16, 2011

MCL FINANCIAL GROUP, INC.

BD
CRD#: 41180
TUSTIN, CA
Past

October 27, 2010 - January 28, 2011

MCL FINANCIAL GROUP, INC.

RIA
CRD#: 41180
TUSTIN, CA
Past

June 2, 2010 - October 26, 2010

EQUITY SERVICES, INC.

RIA
CRD#: 265
TUSTIN, CA
Past

March 9, 2010 - October 26, 2010

EQUITY SERVICES, INC.

BD
CRD#: 265
TUSTIN, CA
Past

January 8, 2007 - March 1, 2010

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
TUSTIN, CA
Past

May 18, 2001 - February 8, 2005

EQUITY SERVICES, INC.

RIA
CRD#: 265
TUSTIN CA, CA
Past

April 26, 2000 - December 31, 2006

EQUITY SERVICES, INC.

BD
CRD#: 265
TUSTIN CA, CA
Past

July 29, 1996 - April 24, 2000

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

September 29, 1983 - October 9, 1996

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/10/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 10/24/1983
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/28/1983
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KR
KFICO, LLC REGISTERED INVESTMENT ADVISOR
KFICO REGISTERD INVESTMENT ADVISOR | KFICO, LLC REGISTERED INVESTMENT ADVISOR | KFICO, LLC

CRD#: 155673 / SEC#:

California
Registered Investment Advisory firm - (1/25/2017 Approved)
Texas
Registered Investment Advisory firm - (1/29/2024 Conditional Restricted)
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Contact information

Main Address
2552 Walnut Ave. Suite 140, Tustin, CA 92780
Mailing Address
Phone number
(714) 734-8899
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts104
AUM (Assets Under Management)$ 46,163,209

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

KFICO, LLC REGISTERED INVESTMENT ADVISOR

CRD#: 155673

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