Phillip John Hoeh

Compliance Advisor

Biography

Phil Hoegh is a financial services compliance professional who has spent over 25 years in compliance with Broker-Dealers and Registered Investment Advisers. Phil started out his career with firms that executed trades on the floors of the CBOT, CME, and CBOE in 1991. Phil was the Chief Compliance Officer and Branch Manager, at Man Financial (formerly E D & F Man International Inc.) from 1996 to 2003. In 2003, Phil joined Allstate Financial Services as the Chief Compliance Officer for their retail broker-dealer and registered investment adviser, which comprised almost 10,000 registered representatives throughout the United States. In 2007, Phil joined brokersXpress, LLC (an optionsXpress subsidiary). Phil became the Chief Compliance Officer of optionsXpress in 2010 in addition to handling the role for brokersXpress. In 2012, Phil joined TradingBlock as the firm’s Chief Compliance Officer.

Phil has the series 4, 7, 8, 14, 24, 27, 55, and 63. Phil has held the Investment Adviser Certified Compliance Professional ® (IACCP®) designation.