Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that former New Jersey-based First Standard Financial Company broker Philip Noto has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Noto (CRD# 4837180).
Philip Noto has spent nine years in the securities industry and was most recently registered with First Standard Financial Company in Red Bank, New Jersey (2014-2018). Previous registrations include Alexander Capital in Staten Island, New York (2012-2014); Brookstone Securities in Freehold, New Jersey (2009-2012); and Gunnallen Financial in Tampa, Florida (2004-2005). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 13, 2010; SIE (Securities Industry Essentials Examination), which he obtained on August 20, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 21, 2009; Series 4 (Registered Options Principal Examination), which he obtained on March 8, 2013; and Series 24 (General Securities Principal Examination), which he obtained on January 6, 2010. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two regulatory sanctions and one pending customer complaint.