John E. Heyke

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CRD#: 244864

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.

John Ericson Heyke III, who also goes by J. Ericson Heyke III, Rick Heyke, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1966. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

J. Ericson Heyke Iii | Rick Heyke

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) RICK HEYKE ASSOCIATES, LLC; INVESTMENT RELATED; 1108 MERRIL ST, WINNETTIC, IL. SINGLE MEMBER LLC USED FOR PROVIDING ADVISORY AND BUSINESS CONSULTING SERVICES; OWNER-MANAGER. START DATE OF NOVEMBER 2008; 10 HOURS PER MONTH. 2)SUCSY, FISCHER, & COMPANY; INVESTMENT RELATED; 799 CENTRAL AVE SUITE 350 HIGHLAND PARK IL 60035; PROVIDE INVESTMENT BANKING SERVICES; START DATE OF DECEMBER 2016. Eastgate Capital Advisors LLC; investment related; 150 S. Wacker Dr. suite 2325 Chicago Il 60606; investment adviser representative; start date of December 2016;

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 3, 2017 - December 31, 2024

EASTGATE CAPITAL ADVISORS LLC

RIA

CRD#: 220511

WINNETKA, IL

Past

December 5, 2016 - October 26, 2018

SF INVESTMENTS, INC.

CRD#: 6564

HIGHLAND PARK, IL

Past

April 10, 2014 - July 20, 2016

ALIIER LLC

RIA

CRD#: 166906

CHICAGO, IL

Past

March 20, 2014 - December 31, 2014

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

CHICAGO, IL

Past

January 20, 2011 - April 7, 2014

TCC SECURITIES, LLC

CRD#: 153575

CHICAGO, IL

Past

March 26, 2010 - February 4, 2011

FOCUS SECURITIES LLC

CRD#: 150589

GAINESVILLE, VA

Past

October 3, 2008 - March 5, 2010

WM. H. MURPHY & CO., INC.

CRD#: 27274

CHICAGO, IL

Past

November 7, 1990 - December 16, 1991

ICF/THE SMOCK QUINN GROUP SECURITIES, INC.

CRD#: 26500

Past

December 8, 1987 - October 17, 1989

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 5, 1984 - May 21, 1986

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

December 20, 1966 - September 8, 1983

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

EASTGATE CAPITAL ADVISORS LLC

CRD#: 220511 / SEC#: 801-130038

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2024 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 65

Date: 4/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/18/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/19/1966

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 11/20/1972

General Securities Principal Examination

Current Firm

EASTGATE CAPITAL ADVISORS LLC

CRD#: 220511 / SEC#: 801-130038

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/21/2024 Terminated)

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Contact information

Main Address

560 Green Bay Road Suite 101, Winnetka, IL 60093

Mailing Address

Phone number

(312) 690-4900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EASTGATE CAPITAL ADVISORS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	269
AUM (Assets Under Management)	$ 263,018,259

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/19/2025	Cover Page	Report

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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Firm Stability Insights

John E. Heyke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SF INVESTMENTS, INC.

ALIIER LLC

REGULUS FINANCIAL GROUP, LLC

TCC SECURITIES, LLC

FOCUS SECURITIES LLC

WM. H. MURPHY & CO., INC.

ICF/THE SMOCK QUINN GROUP SECURITIES, INC.

KIDDER, PEABODY & CO. INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

EASTGATE CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/10/2014

Series 63

Date: 11/18/2008

SIE

Date: 10/1/2018

Series 1

Date: 12/19/1966

Series 00

Date: 11/20/1972

Current Firm

EASTGATE CAPITAL ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EASTGATE CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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