Phillip B. Hein
Professional summary
Phillip Barry Hein, who also goes by Phillip Barry Hein, Phil B Hein, is a registered financial professional currently at NOBLE CAPITAL MARKETS, INC. located in Westport, Connecticut.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2021. Phillip has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Barry Hein's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2024 - Present
NOBLE CAPITAL MARKETS, INC.
Office #1: 88 Post Road West 1st Floor, Westport, CT 06880March 24, 2022 - August 22, 2024
HOLLISTER ASSOCIATES, LLC
April 20, 2021 - March 17, 2022
NOBLE CAPITAL MARKETS, 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
(3/11/2025)
(9/10/2024)
(10/1/2024)
(8/27/2024)
(12/4/2024)
(1/8/2025)
(5/29/2025)
(4/7/2025)
(9/30/2024)
(9/15/2024)
(7/15/2025)
(2/7/2025)
(1/30/2025)
Exams
Series 7TO
Date: 7/7/2021
General Securities Representative ExaminationSeries 79TO
Date: 4/19/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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Company Information
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768Westport, CT 06880TRUST BUT VERIFY
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