Adam G. Heckendorn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam G Heckendorn, who also goes by Adam Gregg Heckendorn, Adam Heckendorn, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1989. Adam had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 27, Series 14, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2013 - February 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2013 - February 6, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2013 - October 4, 2013
PNC WEALTH MANAGEMENT LLC
April 2, 2013 - October 4, 2013
PNC WEALTH MANAGEMENT LLC
September 9, 2011 - April 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2011 - April 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2010 - July 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2003 - April 22, 2009
NOMURA SECURITIES NORTH AMERICA, LLC
May 22, 2003 - August 18, 2003
NANDRA GROUP, INC.
November 15, 2002 - August 20, 2003
DASH FINANCIAL TECHNOLOGIES LLC
June 21, 2001 - November 19, 2002
OSCAR GRUSS & SON INCORPORATED
June 14, 1994 - October 9, 2000
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 1990 - August 30, 1993
CIBC WORLD MARKETS CORP.
May 23, 1989 - December 5, 1989
BMO CAPITAL MARKETS CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 11/16/2005
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
