Gary J. Chackman

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CRD#: 1705039

Professional summary

Gary Joel Chackman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gary is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Gary had worked at 6 firms, which includes HERITAGE CAPITAL LLC, SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., LPL FINANCIAL LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Gary J Chackman

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)

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

June 3, 2013 - October 30, 2013

HERITAGE CAPITAL, LLC

RIA

CRD#: 127650

NORTH WALES, PA

Past

March 2, 2012 - April 3, 2013

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BALTIMORE, MD

Past

March 2, 2012 - April 3, 2013

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BALTIMORE, MD

Past

January 1, 2002 - March 13, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

BALTIMORE, MD

Past

December 14, 2001 - March 13, 2012

LPL FINANCIAL LLC

CRD#: 6413

BALTIMORE, MD

Past

May 29, 1990 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

May 29, 1990 - December 19, 2001

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

HERITAGE CAPITAL, LLC

CRD#: 127650 / SEC#: 801-132778

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Connecticut

Registered Investment Advisory firm - (6/2/2025 Terminated)

Florida

Registered Investment Advisory firm - (5/22/2025 Terminated)

Maryland

Registered Investment Advisory firm - (4/2/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/22/2025 Terminated)

New York

Registered Investment Advisory firm - (5/22/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/14/2013 Terminated)

Rhode Island

Registered Investment Advisory firm - (6/9/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/22/2025 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/9/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/2/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/25/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/15/2002

General Securities Principal Examination

Current Firm

HERITAGE CAPITAL, LLC

CRD#: 127650 / SEC#: 801-132778

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Connecticut

Registered Investment Advisory firm - (6/2/2025 Terminated)

Florida

Registered Investment Advisory firm - (5/22/2025 Terminated)

Maryland

Registered Investment Advisory firm - (4/2/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/22/2025 Terminated)

New York

Registered Investment Advisory firm - (5/22/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/14/2013 Terminated)

Rhode Island

Registered Investment Advisory firm - (6/9/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/22/2025 Terminated)

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Contact information

Main Address

1 Bradley Road Suite 202, Woodbridge, CT 06525

Mailing Address

Phone number

(203) 389-3553

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/14/2025)

Regulatory assets under management

Total Number of Accounts	645
AUM (Assets Under Management)	$ 128,908,923

Red Flags

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

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Firm Stability Insights

Gary J. Chackman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HERITAGE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/1998

Series 63

Date: 4/2/1998

Series 7

Date: 8/12/1999

Series 6

Date: 5/25/1990

Series 24

Date: 3/15/2002

Current Firm

HERITAGE CAPITAL, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE CAPITAL, LLC

TRUST BUT VERIFY

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