Douglas C. Heske

NEWDAY

SOUTHBURY, CT 06488

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CRD#: 1458182

Professional summary

Douglas Charles Heske is a registered financial advisor currently at NEWDAY located in Southbury, Connecticut.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Douglas has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 55, Series 31, Series 7, Series 23 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Charles Heske'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®

None

Experience

Current

June 28, 2016 - Present

NEWDAY

Office #1: 9 Union Square Unit #1123, Southbury, CT 06488

RIA

CRD#: 174758

SOUTHBURY, CT

Past

January 26, 2012 - June 13, 2012

STONE & YOUNGBERG LLC

RIA

CRD#: 795

SAN FRANCISCO, CA

Past

December 2, 2011 - June 13, 2012

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

November 2, 2011 - February 25, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

SAN FRANCISCO, CA

Past

November 2, 2011 - February 25, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

April 5, 2011 - November 3, 2011

STONE & YOUNGBERG LLC

RIA

CRD#: 795

SAN FRANCISCO, CA

Past

April 5, 2011 - November 3, 2011

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

Past

February 11, 2011 - April 11, 2011

INTL ADVISORY CONSULTANTS INC.

RIA

CRD#: 130888

SAN FRANCISCO, CA

Past

February 11, 2011 - April 11, 2011

STERNE, AGEE & LEACH, INC.

CRD#: 791

SAN FRANCISCO, CA

Past

April 8, 2004 - March 11, 2011

NOLLENBERGER CAPITAL PARTNERS INC.

RIA

CRD#: 119248

SAN FRANCISCO, CA

Past

April 7, 2004 - April 15, 2011

NOLLENBERGER CAPITAL PARTNERS INC.

CRD#: 119248

SAN FRANCISCO, CA

Past

August 25, 2000 - April 22, 2004

PIPER SANDLER & CO.

RIA

CRD#: 665

SAN FRANCISCO, CA

Past

April 26, 1991 - April 22, 2004

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

September 4, 1990 - May 1, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

April 30, 1986 - September 4, 1990

BOETTCHER & COMPANY, INC.

CRD#: 101

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".

NEWDAY

CRD#: 174758 / SEC#: 801-112212

RIA

Registered Investment Advisory firm - (1/2/2018 Approved)

California

Registered Investment Advisory firm - (2/1/2018 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
(6/28/2016)

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

IAR

Series 65

Date: 4/10/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 11/7/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 2/10/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 31

Date: 4/3/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 23

Date: 9/1/2004

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 8

Date: 2/24/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NEWDAY

CRD#: 174758 / SEC#: 801-112212

RIA

Registered Investment Advisory firm - (1/2/2018 Approved)

California

Registered Investment Advisory firm - (2/1/2018 Terminated)

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Contact information

Main Address

9 Union Square Unit #1123, Southbury, CT 06488

Mailing Address

Phone number

(415) 935-0550

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEWDAY IMPACT FORM ADV PART 2 AND 2B (9/25/2025)

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 172,421,272

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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Douglas C. Heske

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Charles Heske's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONE & YOUNGBERG LLC

STONE & YOUNGBERG LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STONE & YOUNGBERG LLC

STONE & YOUNGBERG LLC

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

NOLLENBERGER CAPITAL PARTNERS INC.

NOLLENBERGER CAPITAL PARTNERS INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

WELLS FARGO CLEARING SERVICES, LLC

BOETTCHER & COMPANY, INC.

Primary Firm SEC Registration

NEWDAY

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/1995

Series 63

Date: 3/26/1986

SIE

Date: 2/25/2016

Series 87

Date: 11/7/2005

Series 55

Date: 2/10/2005

Series 31

Date: 4/3/2004

Series 7

Date: 3/15/1986

Series 23

Date: 9/1/2004

Series 8

Date: 2/24/1993

Current Firm

NEWDAY

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWDAY

TRUST BUT VERIFY

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