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Detailed Report
JAMES EDWARD HEYNEN
CRD#: 2013547
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 3333 MICHELSON DRIVE
SUITE 820
IRVINE, CA 92612
Registration History
199019952000200520102015202020252 FIRMS2016 - 2018 (1 year)2 FIRMS2018 - 2024 (6 years)2 FIRMS2024 - Present (<1 year)BSAGEPOINT FINANCIAL, INC. (CRD# 133763)2013 - 2016 (2 years)BSCF SECURITIES, INC. (CRD# 47275)2006 - 2007 (<1 year)BAMERICAN GENERAL SECURITIES IN... (CRD# 13626)2002 - 2004 (2 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2001 - 2001 (<1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1990 - 2001 (11 years)BTHE PRUDENTIAL INSURANCE COMPA... (CRD# 680)1990 - 1993 (3 years)
License(s)

State Registrations

B
California 11/14/2024
B
Florida 1/8/2025
IA
California 11/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
3333 MICHELSON DRIVE SUITE 820, IRVINE, CA 92612
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
3333 MICHELSON DRIVE SUITE 820, IRVINE, CA 92612
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/13/2018 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) IRVINE, CA
B
 04/27/2018 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) IRVINE, CA
IA
 08/09/2016 - 04/09/2018 EAGLE STRATEGIES LLC (CRD#:110826) IRVINE, CA
B
 06/06/2016 - 04/09/2018 NYLIFE SECURITIES LLC (CRD#:5167) IRVINE, CA
B
 12/27/2013 - 01/09/2016 SAGEPOINT FINANCIAL, INC. (CRD#:133763) SANTA ANA, CA
B
 12/18/2006 - 10/18/2007 SCF SECURITIES, INC. (CRD#:47275) SAN DIEGO, CA
B
 03/01/2002 - 12/31/2004 AMERICAN GENERAL SECURITIES INCORPORATED (CRD#:13626) PHOENIX, AZ
B
 02/21/2001 - 07/16/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 03/22/1990 - 03/27/2001 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 03/22/1990 - 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.