Robert D. Ericson

HECKMAN FINANCIAL & INSURANCE SERVICES

San Jose, CA 95113-1125

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CRD#: 1213692

Professional summary

Robert Delwin Ericson, CFP®, who also goes by Bob Ericson, is a registered financial advisor currently at HECKMAN FINANCIAL & INSURANCE SERVICES, INC. located in San Jose, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Robert has worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Ericson

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.

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.; INVESTMENT RELATED; INSURANCE AGENT; SAN JOSE, CA; START DATE 03/2015; APPROXIMATELY 50% OF TIME HECKMAN FINANCIAL & INSURANCE SERVICES, INC.; NOT INVESTMENT RELATED; SOFTWARE SALES; SAN JOSE, CA; START DATE 03/2022; APPROXIMATELY 10% OF TIME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Delwin Ericson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Current

February 3, 2015 - Present

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 333 W Santa Clara St Suite 604, San Jose, CA 95113-1125

RIA

CRD#: 111549

San Jose, CA

Past

January 3, 1998 - April 27, 2001

FOOTHILL SECURITIES, INC.

CRD#: 1027

SANTA CLARA, CA

Past

October 5, 1993 - December 31, 1997

REINHARDT WERBA BOWEN SECURITIES, INC.

CRD#: 34202

SAN JOSE, CA

Past

November 19, 1989 - October 1, 1993

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 4, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 9, 1984 - April 6, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

ERIC HECKMAN DBA HECKMAN FINANCIAL & INSURANCE SERVICES | HECKMAN FINANCIAL & INSURANCE SERVICES, INC. | HECKMAN FINANCIAL & INSURANCE SERVICES | GAINER FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 111549 / SEC#: 801-132732

RIA

Registered Investment Advisory firm - (5/6/2025 Approved)

California

Registered Investment Advisory firm - (6/6/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/3/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/18/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/1998

General Securities Principal Examination

Current Firm

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

ERIC HECKMAN DBA HECKMAN FINANCIAL & INSURANCE SERVICES | HECKMAN FINANCIAL & INSURANCE SERVICES, INC. | HECKMAN FINANCIAL & INSURANCE SERVICES | GAINER FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 111549 / SEC#: 801-132732

RIA

Registered Investment Advisory firm - (5/6/2025 Approved)

California

Registered Investment Advisory firm - (6/6/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2025 Terminated)

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Contact information

Main Address

333 W Santa Clara St Suite 604, San Jose, CA 95113-1125

Mailing Address

Phone number

(408) 297-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A&2B SEC (4/7/2025)

Regulatory assets under management

Total Number of Accounts	315
AUM (Assets Under Management)	$ 114,394,000

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.

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Advisor Monitoring

Firm Stability Insights

Robert D. Ericson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Delwin Ericson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOOTHILL SECURITIES, INC.

REINHARDT WERBA BOWEN SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/18/1984

Series 7

Date: 11/19/1983

Series 24

Date: 4/28/1998

Current Firm

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

TRUST BUT VERIFY

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