Heather J. Perlmutter

TOCQUEVILLE ASSET MANAGEMENT LP

New York, NY 10019

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CRD#: 1643571

Professional summary

Heather Jacobs Perlmutter, who also goes by Heather Renee Jacobs, is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in New York, New York.

Heather is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Heather has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heather Renee Jacobs

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.

TOCQUEVILLE ASSET MANAGEMENT L.P, INVESTMENT ADVISOR, IS AN AFFILIATE OF AND OPERATES OUT OF THE SAME OFFICES AS TOCQUEVILLE SECURITIES L.P., EMPLOYMENT DATE 11/03/2008, TITLE PORTFOLIO MANAGER, APPROXIMATELY 94% TO 96% (APPROXIMATELY 165 HOURS) OF TIME A MONTH IS DEVOTED TO TOCQUEVILLE ASSET MANAGEMENT L.P. AND VARIES ACCORDING TO BUSINESS REQUIREMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Jacobs Perlmutter'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

May 23, 2021 - Present

TOCQUEVILLE ASSET MANAGEMENT LP

Office #1: 40 West 57th Street 19th Floor, New York, NY 10019

RIA

CRD#: 105690

New York, NY

Current

November 11, 2008 - Present

TOCQUEVILLE SECURITIES L.P.

Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019

CRD#: 26001

New York, NY

Past

January 1, 1999 - November 3, 2008

BEAR STEARNS ASSET MANAGEMENT INC.

RIA

CRD#: 113359

NEW YORK, NY

Past

February 2, 1990 - October 31, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

November 23, 1988 - February 13, 1990

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

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".

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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.

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

Arizona
(12/16/2013)

California
(11/9/2012)

Colorado
(12/16/2013)

Connecticut
(11/11/2008)

Florida
(12/16/2013)

Georgia
(12/26/2013)

Idaho
(12/26/2013)

Illinois
(12/26/2013)

Maine
(12/26/2013)

Maryland
(11/9/2012)

Massachusetts
(11/9/2012)

Nevada
(11/11/2008)

New Jersey
(11/11/2008)

New York
(11/11/2008)

IAR

New York
(5/23/2021)

Pennsylvania
(11/9/2012)

Texas
(11/9/2012)

Vermont
(11/9/2012)

Virginia
(12/16/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/1/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/8/2011

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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Contact information

Main Address

40 West 57th Street 19th Floor, New York, NY 10019

Mailing Address

Phone number

(212) 698-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOCQUEVILLE ASSET MANAGEMENT LP BROCHURE JUNE 2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	2,440
AUM (Assets Under Management)	$ 9,660,385,107

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
09/27/2024	Cover Page	Report
02/22/2024	Cover Page	Report
03/16/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Heather J. Perlmutter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heather Jacobs Perlmutter's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOCQUEVILLE SECURITIES L.P.

BEAR STEARNS ASSET MANAGEMENT INC.

J.P. MORGAN SECURITIES LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

TOCQUEVILLE ASSET MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/1996

Series 63

Date: 2/1/1989

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1988

Series 53

Date: 4/8/2011

FINRA

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TOCQUEVILLE ASSET MANAGEMENT LP

TRUST BUT VERIFY

Contact information

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