Philip A. Noto
Professional summary
Philip Albert Noto was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip is a previously registered financial professional and started their career in finance in 2004. Prior to being barred, Philip had worked at 4 firms, which includes FIRST STANDARD FINANCIAL COMPANY LLC, ALEXANDER CAPITAL L.P., BROOKSTONE SECURITIES INC., GUNNALLEN FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2014 - August 20, 2018
FIRST STANDARD FINANCIAL COMPANY LLC
June 22, 2012 - July 8, 2014
ALEXANDER CAPITAL, L.P.
November 23, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
November 9, 2004 - July 18, 2005
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
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Exams
Current Firm
FIRST STANDARD FINANCIAL COMPANY LLC
CRD#: 168340 / SEC#: , 8-69300
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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