Donald P. Heckman
Professional summary
Donald Peter Heckman, who also goes by Don Heckman, Donald P Heckman, is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in New York, New York.
Donald is registered as a RR (Registered Representative) and started their career in finance in 1996. Donald has worked at 9 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Donald Peter Heckman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2022 - Present
CASTLEOAK SECURITIES, LP
Office #1: 200 Vesey Street Fl 04, New York, NY 10281October 9, 2018 - June 17, 2022
CHARLES SCHWAB & CO., INC.
August 20, 2018 - June 17, 2022
CHARLES SCHWAB & CO., INC.
September 2, 2016 - January 8, 2018
FIDELITY BROKERAGE SERVICES LLC
January 28, 2010 - January 8, 2018
NATIONAL FINANCIAL SERVICES LLC
March 25, 2009 - December 1, 2009
VELOCITY CLEARING, LLC
November 14, 2008 - March 19, 2009
NOBLE CAPITAL MARKETS, INC.
May 4, 2007 - October 27, 2008
COWEN EXECUTION SERVICES LLC
November 8, 1999 - March 7, 2007
LEHMAN BROTHERS INC.
May 13, 1996 - October 26, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/1/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
