David Hein has been Chief Compliance Officer of QRG Capital Management since August 2019, is not listed as a control person, but directly owns under 5% of the firm.
QRG Capital Management, Inc. is a Berwyn, PA firm with $11.4B under management, 27,393 clients and 12 advisers in one office, as of its June 2026 filing.
David Hein’s longest registration is the current one, 9 years at Envestnet PMC since 2017.
- Envestnet PMCAlso current– present · 9 yearsBerwyn, PA · Adviser representative · Firm CRD 111694
- Raymond James & Associates, Inc.– · 3 yearsChicago, IL · Adviser representative · Firm CRD 705
- Howe Barnes Capital Management, Inc.– · 3 yearsChicago, IL · Adviser representative · Firm CRD 110715
- Securities America Advisors, Inc.– · 1 yearChicago, IL · Adviser representative · Firm CRD 110518
Investment adviser representative registrations
David Hein is registered as an investment adviser representative in Illinois, since July 2017.
- IllinoisSince 31 July 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 6 April 2012 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 March 2012 |
| Series 3 | National Commodity Futures Examination | 20 January 2006 |
| Series 53 | Municipal Securities Principal Examination | 29 June 2004 |
| Series 4 | Registered Options Principal Examination | 1 August 2003 |
| Series 66 | Uniform Combined State Law Examination | 21 February 2003 |
| Series 24 | General Securities Principal Examination | 27 November 2002 |
| Series 7 | General Securities Representative Examination | 15 April 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- National Commodity Futures Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- David Lee Hein
- CRD
- 3223202
- Firm
- QRG Capital Management · CRD 305277
- Role
- Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- November 2005
- Disciplinary history
- Not yet shown here · SEC record
Where does David Hein work?
David Hein has been Chief Compliance Officer of QRG Capital Management, Inc. since August 2019.
Is David Hein a financial advisor?
Yes. David Hein has a current investment-adviser registration in Illinois.
How many years of experience does David Hein have?
David Hein has 20 years in the financial industry, since November 2005, across 4 adviser firms.
What exams has David Hein passed?
David Hein has passed 8 licensing exams: the Series 7, Series 24, Series 66, Series 4, Series 53, Series 3, Series 9 and Series 10. The earliest, the Series 7, was passed in April 2002. FINRA credited David Hein with the SIE, which began in October 2018.
Where was David Hein previously registered as an investment adviser?
David Hein has past investment-adviser registrations through Raymond James & Associates, Inc., April 2011 to April 2014; Howe Barnes Capital Management, Inc., December 2008 to December 2011; Securities America Advisors, Inc., May 2003 to March 2005, across 4 firms.
Is David Hein registered with FINRA?
No. David Hein has no current broker registration.
How can I verify David Hein’s record?
Search CRD 3223202 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Hein’s full registration record.
- Christopher ToddChief Executive Officer
- John HofmannChief Financial Officer
- Dana D'AuriaCo-Chief Investment Officer
- Kathryn EvansChief Operations Officer
- Shelly O'BrienCorporate Secretary
- Brandon ThomasCo-Chief Investment Officer
Janis ZvingelisDirector of Quantitative Research/Principal