Eric R. Heckman

HECKMAN FINANCIAL & INSURANCE SERVICES

SAN JOSE, CA 95113-1125

CRD#: 2220911

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Professional summary

Eric Ray Heckman, CFP®, ChFC®, CLU® is a registered financial advisor currently at HECKMAN FINANCIAL & INSURANCE SERVICES, INC. located in San Jose, California.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Eric has worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 24 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 Eric Ray Heckman'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®

CFP^®

Certified Financial Planner

Start date: 2000

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 7, 2005 - Present

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 333 W Santa Clara St Suite 604, San Jose, CA 95113-1125

RIA

CRD#: 111549

SAN JOSE, CA

Past

September 13, 2004 - January 28, 2010

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

SAN JOSE, CA

Past

September 13, 2004 - April 8, 2011

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

SAN JOSE, CA

Past

January 11, 2002 - October 1, 2004

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

SAN JOSE, CA

Past

July 14, 1992 - September 29, 2004

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

April 8, 1992 - April 29, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 8, 1992 - April 29, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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
(11/7/2005)

IAR

Texas
(1/27/2022)

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: 4/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/30/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/6/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/2006

General Securities Principal 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 (2/21/2026)

Regulatory assets under management

Total Number of Accounts	565
AUM (Assets Under Management)	$ 116,422,695

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

Eric R. Heckman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Ray Heckman's CRS (Customer Relationship Summary).

Certified licenses

Experience

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HECKMAN FINANCIAL & INSURANCE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/1992

Series 7

Date: 12/30/1997

Series 6

Date: 4/6/1992

Series 24

Date: 3/14/2006

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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