Roger L. Gainer

HECKMAN FINANCIAL & INSURANCE SERVICES

San Rafael, CA 94901

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CRD#: 1921135

Professional summary

Roger Lee Gainer, ChFC®, who also goes by Roger L Gainer, is a registered financial advisor currently at HECKMAN FINANCIAL & INSURANCE SERVICES, INC. located in San Rafael, California.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Roger has worked at 5 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger L Gainer

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.

Gainer Financial & Insurance Services; Investment Related; President; runs an insurance agency helping people with life insurance and annuities; Start date 05/2005; San Rafael, CA; Approximately 50% of time. Heckman Financial & Insurance Sales, Inc.; Not Investment Related; Software Sales; Start Date 03/2022; San Jose, CA; Approximately 10% of time

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Gainer'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

December 17, 2010 - Present

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 1299 Fourth Street Suite 411, San Rafael, CA 94901

RIA

CRD#: 111549

San Rafael, CA

Past

November 20, 2008 - March 20, 2009

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

MILL VALLEY, CA

Past

November 19, 2008 - March 20, 2009

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

MILL VALLEY, CA

Past

April 3, 2006 - November 6, 2008

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

MILL VALLEY, CA

Past

May 13, 2005 - November 6, 2008

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

MILL VALLEY, CA

Past

February 27, 1989 - June 10, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

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".

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

ERIC HECKMAN DBA HECKMAN FINANCIAL & INSURANCE SERVICES | HECKMAN FINANCIAL & INSURANCE SERVICES, INC. | HECKMAN FINANCIAL & INSURANCE SERVICES | GAINER FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 111549 / SEC#: 801-132732

RIA

Registered Investment Advisory firm - (5/6/2025 Approved)

California

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

Texas

Registered Investment Advisory firm - (5/7/2025 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.

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
(12/17/2010)

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

Series 63

Date: 8/21/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 6/7/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/24/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

ERIC HECKMAN DBA HECKMAN FINANCIAL & INSURANCE SERVICES | HECKMAN FINANCIAL & INSURANCE SERVICES, INC. | HECKMAN FINANCIAL & INSURANCE SERVICES | GAINER FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 111549 / SEC#: 801-132732

RIA

Registered Investment Advisory firm - (5/6/2025 Approved)

California

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

Texas

Registered Investment Advisory firm - (5/7/2025 Terminated)

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Contact information

Main Address

333 W Santa Clara St Suite 604, San Jose, CA 95113-1125

Mailing Address

Phone number

(408) 297-9800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A&2B SEC (4/7/2025)

Regulatory assets under management

Total Number of Accounts	315
AUM (Assets Under Management)	$ 114,394,000

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

Roger L. Gainer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Lee Gainer's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/1991

Series 22

Date: 6/7/1989

Series 6

Date: 2/24/1989

Current Firm

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

TRUST BUT VERIFY

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