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Phillip Jeffery Sobey

Santander US Capital Markets LLC

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About Phillip Jeffery Sobey

Phillip Jeffery Sobey is a financial professional with over 25 years of experience in the industry. Phillip is currently registered with Santander US Capital Markets LLC, a firm headquartered in New York, NY. Before joining this firm, Phillip held positions at Santander Investment Securities Inc., Nomura Securities International, Inc., UBS Securities LLC, SBC Warburg Dillon Read Inc., and SBC Warburg, Inc.. Phillip holds FINRA Series 7, Series 24, Series 63 and SIE licenses. Phillip is registered in New York and Texas.

Firm Information

Phillip Sobey is currently registered with Santander US Capital Markets LLC. Santander US Capital Markets LLC is a Limited Liability Company formed in January 2010. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. Santander US Capital Markets LLC has also been approved by the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

150

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Phillip Sobey’s Registration & Firm History

NY

02/06/2023 - Present

Santander US Capital Markets LLC (NEW YORK NY)

NY

09/12/2011 - 02/06/2023

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

NY

05/17/2010 - 08/04/2011

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

CT

06/29/1998 - 03/18/2010

UBS SECURITIES LLC (STAMFORD CT)

CT

09/02/1997 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NY

08/06/1997 - 09/02/1997

SBC WARBURG, INC. (NEW YORK NY)

NA

06/12/1986 - 06/25/1986

TRANSMARKET FINANCIAL, INC.

NA

12/21/1983 - 08/23/1984

OLDE & CO., INCORPORATED

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Licenses & Designations

BC

Issued 08/11/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/30/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/04/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Phillip Jeffery Sobey.
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