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Robert E. Heenan

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CRD#: 2332767
RH

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.

Robert Edmund Heenan, who also goes by Bob Heenan, Robert J Heenan, Robert Joyce Heenan, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Heenan | Robert J Heenan | Robert Joyce Heenan

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.
(1)START DATE 3/2013, I DEVOTE 6 HRS/MO (NONE DURING TRADING) AS A BOARD MEMBER/DIRECTOR OF BUCKET LIST PROJECT, THIS ACTIVITY IS NON-INVESTMENT RELATED. MY DUTIES INCLUDE PROVIDING PUBLIC RELATIONS SUPPORT AND PUBLIC OUTREACH FOR THIS CHARITABLE ORGANIZATION THAT ENABLES WISH FULFILLMENT FOR TERMINALLY ILL OR THOSE WITH LIMITING ILLNESSES. (2) START DATE 12/2010 I USE HEENAN INVESTMENTS AS MY DBA FOR MY SECURITIES BUSINESS; THIS IS AN INVESTMENT RELATED ACTIVITY AND I DEVOTE 140 HRS/MO (80 HRS DURING TRADING) TO MARKETING AND MAINTAINING MY SECURITIES BUSINESS. BUSINESS ADDRESS IS THE SAME AS BRANCH ADDRESS.

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

January 9, 2024 - March 4, 2024

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
ORANGE, CA
Past

January 2, 2024 - March 4, 2024

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
SEAL BEACH, CA
Past

December 1, 2010 - December 31, 2023

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
SEAL BEACH, CA
Past

November 30, 2010 - December 31, 2023

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
SEAL BEACH, CA
Past

May 30, 1997 - December 6, 2010

LPL FINANCIAL LLC

RIA
CRD#: 6413
SEAL BEACH, CA
Past

May 30, 1997 - December 6, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
SEAL BEACH, CA
Past

May 5, 1993 - June 6, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/12/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/20/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/1997
General Securities Principal Examination

Current Firm

CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P.
CROWN CAPITAL SECURITIES, L.P. | ERIC EQUITIES, INC. | DELTA BROKER HOLDINGS, LLC

CRD#: 6312 / SEC#: 801-57663, 8-17264

BD
Terminated by SEC on 11/23/2024
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Contact information

Main Address
725 Town & Country Road Suite 530, Orange, CA 92868
Mailing Address
Phone number
(714) 547-9481
Established
Delaware since 01/04/1999
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
164

Documents

Latest Form ADV

Part 2 Brochures

ADV PART IIA APPENDIX 1 - CROWN HERITAGE (3/31/2023)
ADV PART IIA APPENDIX 1 - CROWN STERLING (3/31/2023)
ADV PART IIA (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
DELTA CAPITAL HOLDINGS, LLCGENERAL PARTNER
DELTA BROKER HOLDING, LLCLIMITED PARTNER
EDWARDS, DON MICHAELCFO/FINOP/CONTROLLER2669488
FRENCH, JONATHAN LEEPRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV.3155702
PAULSEN, DAROL KENNETHCEO/DIR./TREASURER/SROP358292
PAULSEN, PHYLLIS JEANSR. VP/DIR/CAO DIR./LIC & REG/SEC1512757

Regulatory assets under management

Total Number of Accounts5,654
AUM (Assets Under Management)$ 1,223,108,240

Disclosures

Regulatory Event8
Arbitration3

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.

Company Information

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

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