Herbert R. Hein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Herbert Ross Hein III, who also goes by Ross Hein, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1991. Herbert had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2008 - December 31, 2024
GOLD COAST SECURITIES, INC.
September 2, 2008 - December 31, 2024
GOLD COAST SECURITIES, INC.
January 3, 2007 - September 4, 2008
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
January 3, 2007 - September 4, 2008
NEWEDGE SECURITIES, LLC
November 27, 2006 - December 31, 2006
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
September 25, 2006 - January 24, 2007
HOYLECOHEN, LLC
May 4, 2004 - November 27, 2006
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
May 3, 2004 - December 31, 2006
NEWEDGE SECURITIES, LLC
May 20, 2003 - September 13, 2006
HOYLECOHEN,INC.
July 8, 1997 - May 4, 2004
FDX ADVISORS, INC.
February 2, 1997 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
January 14, 1992 - January 24, 1997
SUTRO & CO. INCORPORATED
August 15, 1991 - November 15, 1991
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GOLD COAST SECURITIES, INC.
CRD#: 110925 / SEC#: 801-60090, 8-53148
Contact information
FINRA licenses (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 37,393,957 |
Disclosures
| Regulatory Event | 1 |
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.
