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JH

John Ericson Heyke

CRD# 2450178·Registered 1994 - 2012
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Ericson Heyke, who also goes by Eric Heyke IV, John Ericson Heyke Iv, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1994 - 2012. John had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 14, Series 27 and Series 12 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Eric Heyke Iv, John Ericson Heyke Iv

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

32 years in the financial services industry

Current & Past Employments

DIRECT ACCESS PARTNERS LLC·CRD# 120950
BD
New York, NY
September 17, 2009 - December 11, 2012
VDM INSTITUTIONAL BROKERAGE, LLC·CRD# 39022
BD
New York, NY
May 26, 2009 - September 15, 2009
BATTENKILL CAPITAL, INC.·CRD# 131548
BD
Manchester Center, VT
June 5, 2008 - January 2, 2009
JEFFERIES EXECUTION SERVICES, INC.·CRD# 867
BD
New York, NY
December 17, 2003 - June 28, 2006
KENNY & CO., LLC·CRD# 113413
BD
New York, NY
February 19, 2002 - January 2, 2004
INSTITUTIONAL DIRECT INC.·CRD# 23019
BD
New York, NY
December 1, 2000 - February 15, 2002
A.W. BERTSCH, INC.·CRD# 32772
BD
New York, NY
October 1, 2000 - November 30, 2000
MF GLOBAL INC.·CRD# 6731
BD
New York, NY
September 20, 1996 - November 13, 1998
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
February 15, 1995 - September 6, 1996
ADLER COLEMAN & CO., INC.·CRD# 16104
BD
New York, NY
February 28, 1994 - November 2, 1994

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Current Firm

DA
DIRECT ACCESS PARTNERS LLC

DIRECT ACCESS GROUP LLC | DIRECT ACCESS PARTNERS LLC

CRD#: 120950 / SEC#: 8-65361
BD
Cancelled by SEC on 10/26/2016

Contact Information

Established

New York since 04/18/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DIRECT ACCESS GROUP LLCSOLE MANAGING MEMBER—
GETTENBERG, GARYCHIEF FINANCIAL OFFICER1973696
ROMAN, ELLIOTT MARCELCHIEF COMPLIANCE OFFICER2670426
ROMAN, ELLIOTT MARCELCOO2670426

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1994About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Aug 2009

Series 7 — General Securities Representative Examination

Passed Feb 1994About the Series 7 exam

Series 14 — Compliance Officer Examination

Passed May 1999About the Series 14 exam

Series 27 — Financial and Operations Principal Examination

Passed Mar 1998About the Series 27 exam

Series 12 — NYSE Branch Manager Examination

Passed Dec 1997

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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