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Phillip B. Courten

TELEGRAPH HILL BD LLC
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 1567814
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Professional summary

Phillip Bradley Courten, who also goes by Phillip B Courten, is a registered financial professional currently at TELEGRAPH HILL BD LLC located in San Francisco, California.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 1991. Phillip has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phillip B Courten

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) - BD

Click below to view Phillip Bradley Courten's CRS (Customer Relationship Summary).

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

Current

October 15, 2020 - Present

TELEGRAPH HILL BD LLC

Office #1: 535 Mission Street 14th Floor, San Francisco, CA, 94105Office #2: 535 Mission Street 14th Floor, San Francisco, CA 94105
BD
CRD#: 297701
San Francisco, CA
Past

April 30, 2010 - October 7, 2011

WEDBUSH SECURITIES INC.

BD
CRD#: 877
SAN FRANCISCO, CA
Past

March 8, 2001 - March 12, 2010

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

January 12, 1998 - September 15, 1999

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 15, 1994 - October 20, 1995

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

February 11, 1991 - April 13, 1992

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/17/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/9/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/19/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TH
TELEGRAPH HILL BD LLC
TELEGRAPH HILL ADVISORS, LLC | TELEGRAPH HILL BD LLC

CRD#: 297701 / SEC#: , 8-70171

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
535 Mission Street 14th Floor, San Francisco, CA 94105
Mailing Address
535 Mission Street 14th Floor, San Francisco, CA 94105
Phone number
(415) 523-0055
Established
California since 12/13/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TELEGRAPH HILL ADVISORS, LLCOWNER
COURTEN, PHILLIP BRADLEYMANAGING DIRECTOR1567814
COLLINS, ELIZABETH SARAHFINOP, CFO4714831
MOORJANI, DINESH HIRANANDCCO, CTO4707629
SUTHERLAND, SCOTT PATRICKMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER2314007

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

TELEGRAPH HILL BD LLC

CRD#: 297701San Francisco, CA 94105

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