Phillip J. Hoeh
Professional summary
Phillip John Hoeh is a registered financial professional currently at TRADINGBLOCK located in Chicago, Illinois.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 1992. Phillip has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 27, Series 14, Series 4, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip John Hoeh's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2012 - Present
TRADINGBLOCK
Office #1: 311 S. Wacker Dr., Ste 1775, Chicago, IL 60606September 17, 2014 - May 29, 2020
TRADINGBLOCK
February 27, 2012 - February 29, 2012
OX TRADING, LLC
March 25, 2009 - August 9, 2012
OPTIONSXPRESS, INC.
October 1, 2007 - August 9, 2012
BROKERSXPRESS LLC
January 23, 2003 - October 1, 2007
ALLSTATE FINANCIAL SERVICES, LLC
September 24, 1996 - January 22, 2003
MF GLOBAL INC.
November 30, 1994 - March 31, 1995
HAMILTON INVESTMENTS, INC.
September 1, 1994 - November 4, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
December 8, 1993 - March 31, 1995
HAMILTON INVESTMENTS, INC.
July 15, 1992 - September 3, 1992
H.J. MEYERS & CO., INC.
June 24, 1992 - July 28, 1992
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/8/2012)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 5/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TRADINGBLOCK
CRD#: 128605 / SEC#: , 8-66163
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | |
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 |
| HOEH, PHILLIP JOHN | CCO | 2231877 |
| MARTINO, GARY ANTHONY | VP | 1458334 |
| OGILVIE, DONAL SHANNON | COO | 2863275 |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
