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Rand A. Heckler

Some features on this profile are disabled
CRD#: 2689235
RH

Professional summary

Rand Alan Heckler was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Rand is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Rand had worked at 11 firms, which includes BENJAMIN & JEROLD BROKERAGE I LLC, ALEXANDER CAPITAL L.P., GLOBAL ARENA CAPITAL CORP, PRESTIGE FINANCIAL CENTER INC., WESTROCK ADVISORS INC., GUNNALLEN FINANCIAL INC, S.W. BACH & COMPANY, BISHOP ROSEN & CO. INC., HAPOALIM SECURITIES USA INC., ROYCE INVESTMENT GROUP INC., BILTMORE SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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, 2014 - April 16, 2019

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
GLEN COVE, NY
Past

November 12, 2010 - December 31, 2013

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
RED BANK, NJ
Past

November 3, 2010 - November 10, 2010

GLOBAL ARENA CAPITAL CORP

BD
CRD#: 16871
NEW YORK, NY
Past

February 20, 2007 - November 2, 2010

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
NEW YORK, NY
Past

November 17, 2003 - February 22, 2007

WESTROCK ADVISORS, INC.

BD
CRD#: 114338
NEW YORK, NY
Past

September 4, 2002 - December 16, 2003

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

June 25, 2002 - August 13, 2002

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

April 30, 2002 - June 10, 2002

BISHOP, ROSEN & CO., INC.

BD
CRD#: 1248
NEW YORK, NY
Past

October 29, 1999 - May 23, 2002

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

June 15, 1999 - October 29, 1999

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY
Past

July 10, 1996 - July 16, 1998

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL
Past

January 2, 1996 - June 11, 1996

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, 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
RR
Series 63
Date: 12/28/1995
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: 12/21/1995
General Securities Representative Examination

Current Firm

B&
BENJAMIN & JEROLD BROKERAGE I, LLC
ALTERNATIVE INVESTMENT STORE | OPAL CAPITAL GROUP | MCCAULEY GROUP | GLOBAL SHARES EXECUTION SERVICES | GGK GROUP | DA GAMA PARTNERS | D.E. MACGOWN & CO | CURATED CAPITAL GROUP | BENJAMIN & JEROLD BROKERAGE, INC. | BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110 / SEC#: , 8-44133

BD
Terminated by SEC on 04/13/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 02/01/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOLAN, TERENCE JR.CEO, CCO, AML, OWNER2352516

Disclosures

Regulatory Event6
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

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

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