Edward J. Hecker
STIFEL, NICOLAUS & COMPANY
Melbourne, FL 32940
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CRD#: 1397090
Professional summary
Edward John Hecker, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Melbourne, Florida.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Edward has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Rental Property; 4026 Meander Plance #207 Rockledge FL 32955; his son-in-law and him bought a condo as a rental property; He is 50% owner of the property and receives rental income and pays bills for his ownership; affiliation started 08/15/2016; 1.0 hour per quarter; not during securities trading hours; not investment-related. 2. Calvary Chapel Fellowship of Melbourne Inc; 2955 Minton Road, Melbourne, FL 32901; Church; Member of Finance Committee; Serve as member of committee to verify church financials are being properly; 01/01/2022; 2 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Edward John Hecker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward John Hecker's 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®
Start date: 2007
Experience
Current
November 15, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6769 North Wickham Road, Suite B100, Melbourne, FL 32940RIA
BD
CRD#: 793
Melbourne, FL
Current
November 10, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6769 North Wickham Road, Suite B100, Melbourne, FL 32940RIA
BD
CRD#: 793
Melbourne, FL
Past
January 25, 2005 - November 21, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MELBOURNE, FL
Past
January 3, 2005 - November 21, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELBOURNE, FL
Past
April 2, 2002 - January 10, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
December 31, 2000 - November 8, 2001
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
September 16, 1998 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
Past
June 1, 1998 - January 6, 2000
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
November 11, 1996 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
February 20, 1990 - July 31, 1996
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 22, 1988 - March 3, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
September 3, 1985 - February 11, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2021)
RR
Alaska(2/24/2020)
RR
Arizona(11/10/2016)
RR
Arkansas(11/10/2016)
RR
California(11/10/2016)
RR
Colorado(11/10/2016)
RR
Connecticut(11/10/2016)
RR
Florida(11/10/2016)
IAR
Florida(11/15/2016)
RR
Georgia(11/10/2016)
RR
Hawaii(11/10/2016)
RR
Kansas(11/10/2016)
RR
Kentucky(2/13/2019)
RR
Maine(11/10/2016)
RR
Maryland(11/10/2016)
RR
Massachusetts(8/14/2019)
RR
Michigan(11/10/2016)
RR
Mississippi(2/4/2019)
RR
Missouri(12/6/2019)
RR
Nebraska(11/10/2016)
RR
New Hampshire(11/10/2016)
RR
New Jersey(11/10/2016)
RR
New Mexico(11/10/2016)
RR
New York(11/10/2016)
RR
North Carolina(11/10/2016)
RR
Ohio(11/10/2016)
RR
Oklahoma(7/27/2023)
RR
Oregon(6/17/2024)
RR
Pennsylvania(11/10/2016)
RR
South Carolina(7/19/2019)
RR
Tennessee(1/23/2018)
RR
Texas(7/19/2023)
IAR
Texas(7/19/2023)
RR
Vermont(11/10/2016)
RR
Virginia(11/10/2016)
RR
Washington(11/10/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 2/5/1990
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 1/26/1990
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
