DV
David J. Vogel
SIMPLICITY WEALTH
Sandy Springs, GA
Some features on this profile are disabled
CRD#: 1020967
DV
Professional summary
David Jay Vogel, who also goes by Dave Vogel, is a registered financial advisor currently at SIMPLICITY WEALTH located in Sandy Springs, Georgia.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. David has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Vogel
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Vogel Retirement Solutions, LLC; Investment-related; 1875 OLD ALABAMA RD, SUITE 625, ROSWELL, GA 30076; Fixed insurance sales; Principal; 09/2016; Approx. 80 hours/month; Approx. 80 hours/month during trading hours; Fixed insurance sales.
2) David Vogel; Investment-related; 1875 OLD ALABAMA RD, SUITE 625, ROSWELL, GA 30076; Fixed insurance sales; Licensed Insurance Agent; 09/2016; Approx. 80 hours/month as Principal at Vogel Retirement Solutions; Approx. 80 hours/month during trading hours as Principal at Vogel Retirement Solutions; Fixed insurance sales.
CRS (Client Relationship Summary) - RIA
Click below to view David Jay Vogel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 7, 2019 - Present
SIMPLICITY WEALTH
RIA
CRD#: 300572
Sandy Springs, GA
Past
May 8, 2017 - August 6, 2019
VIRTUE CAPITAL MANAGEMENT, LLC
RIA
CRD#: 167816
ROSWELL, GA
Past
June 16, 2015 - May 5, 2017
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
SANDY SPRINGS, GA
Past
June 16, 2014 - December 1, 2014
INVESTACORP, INC.
BD
CRD#: 7684
ALPHARETTA, GA
Past
June 12, 2014 - December 1, 2014
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
ALPHARETTA, GA
Past
July 29, 2013 - September 27, 2013
NESTWISE LLC
RIA
CRD#: 164466
ATLANTA, GA
Past
November 29, 2012 - June 7, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ALPHARETTA, GA
Past
November 19, 2012 - June 7, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ALPHARETTA, GA
Past
September 30, 2008 - November 30, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ATLANTA, GA
Past
September 24, 2008 - November 30, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
ATLANTA, GA
Past
April 29, 2003 - September 23, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
ATLANTA, GA
Past
January 4, 1999 - September 23, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ATLANTA, GA
Past
April 22, 1996 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
Past
August 23, 1995 - April 1, 1996
RICKEL & ASSOCIATES, INC.
BD
CRD#: 7839
NEW YORK, NY
Past
September 21, 1993 - June 6, 1994
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
October 16, 1991 - December 24, 1992
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
April 11, 1990 - October 22, 1991
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 26, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
BD
CRD#: 7555
Past
November 9, 1983 - February 20, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 30, 1981 - November 28, 1983
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Georgia(8/7/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
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Contact information
Main Address
475 Springfield Ave. Suite #1, Summit, NJ 07901
Mailing Address
Phone number
(844) 220-8326
Established
Firm type
Fiscal year end
# of Employees
242
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,573 |
| AUM (Assets Under Management) | $ 3,598,410,848 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
