Paul H. Heckler

YOSEMITE CAPITAL MANAGEMENT

Newport Beach, CA 92660

CRD#: 1707829

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Professional summary

Paul Henry Heckler is a registered financial advisor currently at YOSEMITE CAPITAL MANAGEMENT located in Newport Beach, California.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Paul has worked at 8 firms and has passed the Series 65, Series 63, Series 3 and Series 7 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 Paul Henry Heckler'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

March 27, 2026 - Present

YOSEMITE CAPITAL MANAGEMENT

Office #1: 5120 Birch Street Suite 100, Newport Beach, CA 92660

RIA

CRD#: 124298

Newport Beach, CA

Past

June 12, 2002 - December 31, 2010

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

May 1, 2001 - December 31, 2025

YOSEMITE CAPITAL MANAGEMENT

RIA

CRD#: 124298

NEWPORT BEACH, CA

Past

March 30, 2001 - February 19, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

July 17, 1998 - April 25, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 2, 1993 - July 23, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 14, 1990 - July 7, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 19, 1989 - September 21, 1990

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 19, 1989 - September 21, 1990

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

YOSEMITE CAPITAL MANAGEMENT

YOSEMITE CAPITAL MANAGEMENT | YOSEMITE CAPITAL MANAGEMENT, LLC

CRD#: 124298 / SEC#: 801-62374

RIA

Registered Investment Advisory firm - (9/26/2003 Approved)

California

Registered Investment Advisory firm - (9/26/2003 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
(3/27/2026)

IAR

Nebraska
(3/30/2026)

IAR

Texas
(3/30/2026)

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: 9/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/25/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Current Firm

YOSEMITE CAPITAL MANAGEMENT

YOSEMITE CAPITAL MANAGEMENT | YOSEMITE CAPITAL MANAGEMENT, LLC

CRD#: 124298 / SEC#: 801-62374

RIA

Registered Investment Advisory firm - (9/26/2003 Approved)

California

Registered Investment Advisory firm - (9/26/2003 Terminated)

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Contact information

Main Address

5120 Birch Street Suite 100, Newport Beach, CA 92660

Mailing Address

Phone number

(714) 730-3310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

YOSEMITE CAPITAL MANAGEMENT, LLC - FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	806
AUM (Assets Under Management)	$ 340,226,200

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

Paul H. Heckler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Henry Heckler's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNDICATED CAPITAL, INC.

YOSEMITE CAPITAL MANAGEMENT

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

YOSEMITE CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/4/1992

Series 63

Date: 1/24/1991

Series 3

Date: 4/25/1991

Series 7

Date: 9/16/1989

Current Firm

YOSEMITE CAPITAL MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

YOSEMITE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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