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Roger Lee Gainer

Heckman Financial & Insurance Services, Inc.

San Jose, CA

San Rafael, CA

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Current Employers
Heckman Financial & Insurance Services, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
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
OrganizationCityStateFromTo
Heckman Financial & Insurance Services Inc San Jose CA 01/2011 Present
Gainer Financial & Insurance Services San Rafael CA 05/2005 Present
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
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-08-21
  • S63 Uniform Securities Agent State Law Examination
    1991-08-21
Designations
Other Names
  • Roger L Gainer

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
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