Roger Gainer has been an investment adviser representative at Heckman Financial & Insurance Services since December 2010, and is not listed among the firm’s executive officers or direct owners.
Heckman Financial & Insurance Services, Inc. is a San Jose, CA firm with $116M under management, 305 clients and 5 advisers across 3 offices, as of its May 2026 filing.
Roger Gainer is an Investment Adviser Representative of Heckman Financial and Insurance Services, Inc. He started his career in financial services in 1984 as a commodity broker. He has over 22 years in his current financial and insurance services practice and has served as a mentor to other financial professionals.
Roger Gainer’s longest registration is the current one, 15 years at Heckman Financial & Insurance Services since 2010. Before joining Heckman Financial & Insurance Services in 2010, Roger Gainer was registered through First Midwest Securities, Inc. and On Investment Management Co.
- – present · 15 yearsSan Rafael, CA · Adviser representative · Firm CRD 111549
- First Midwest Securities, Inc.– · under a yearMill Valley, CA · Adviser representative · Firm CRD 21786
- On Investment Management Co– · 2 yearsMill Valley, CA · Adviser representative · Firm CRD 105662
Professional designations
Listed by Heckman Financial & Insurance Services
- Chartered Financial Consultant (ChFC®)
- Retirement Income Certified Professional (RICP®)
Investment adviser representative registrations
Roger Gainer is registered as an investment adviser representative in California, since December 2010.
- CaliforniaSince 17 December 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 21 August 1991 |
| Series 22 | Direct Participation Programs Representative Examination | 7 June 1989 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 February 1989 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Roger Lee Gainer
- CRD
- 1921135
- Firm
- Heckman Financial & Insurance Services · CRD 111549
- Office
- 1299 Fourth Street Suite 411, San Rafael, CA 94901
- Registration
- Investment adviser registration
- In the industry since
- January 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- wealthcreator.com
Where does Roger Gainer work?
Roger Gainer is an investment adviser representative registered through Heckman Financial & Insurance Services, Inc. since December 2010, and is not listed among the firm’s executive officers or direct owners.
Is Roger Gainer a financial advisor?
Yes. Roger Gainer has a current investment-adviser registration in California, through Heckman Financial & Insurance Services since December 2010.
How many years of experience does Roger Gainer have?
Roger Gainer has 18 years in the financial industry, since January 2008, across 3 adviser firms.
What exams has Roger Gainer passed?
Roger Gainer has passed 3 licensing exams: the Series 6, Series 22 and Series 63. The earliest, the Series 6, was passed in February 1989.
Where did Roger Gainer work before Heckman Financial & Insurance Services?
Before Heckman Financial & Insurance Services, Roger Gainer was registered through First Midwest Securities, Inc., November 2008 to March 2009; On Investment Management Co, April 2006 to November 2008.
Where is Roger Gainer based?
Roger Gainer’s registered office is in San Rafael, CA.
Is Roger Gainer registered with FINRA?
No. Roger Gainer has no current broker registration.
How can I verify Roger Gainer’s record?
Search CRD 1921135 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roger Gainer’s full registration record.
