Roger Lee Gainer

Employer firm

Heckman Financial & Insurance Services, Inc. CRD 111549

$116M regulatory AUM 22 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Heckman Financial & Insurance Services, Inc.

333 W Santa Clara St Suite 604, San Jose, CA 95113-1125 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-04-28

CA RA
APPROVED

Since 2025-04-28

Branch Locations

333 W Santa Clara St Suite 604, San Jose, CA 95113-1125 • United States

1299 Fourth Street Suite 411, San Rafael, CA 94901 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Heckman Financial & Insurance Services Inc	San Jose	CA	01/2011	Present
Gainer Financial & Insurance Services	San Rafael	CA	05/2005	Present

01/2011 → Present

Heckman Financial & Insurance Services Inc

San Jose, CA
05/2005 → Present

Gainer Financial & Insurance Services

San Rafael, CA

Previous Registrations

2008-11-20 → 2009-03-20

First Midwest Securities, Inc.

Waukee, IA

Mill Valley, CA
2006-04-03 → 2008-11-06

On Investment Management Co

Mill Valley, CA

Cincinnati, OH

Other Businesses

Gainer Financial & Insurance Services; Investment Related; President; runs an insurance agency helping people with life insurance and annuities; Start date 05/2005; San Rafael, CA; Approximately 50% of time.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1991-08-21

S63 Uniform Securities Agent State Law Examination

1991-08-21

Designations

Chartered Financial Consultant

Other Names

Roger L Gainer

View on SEC IAPD