Roy A. Vogel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roy Allen Vogel was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1982. Roy had worked at 18 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2015 - December 22, 2016
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
January 7, 2013 - December 8, 2014
BROOKSIDE FINANCIAL ADVISORS, LLC
April 27, 2011 - November 23, 2011
FORESTERS EQUITY SERVICES, INC.
August 14, 2009 - April 15, 2011
INTEGRITY ALLIANCE, LLC.
November 29, 2007 - November 17, 2008
INTEGRITY ALLIANCE, LLC.
September 8, 2006 - April 15, 2011
INTEGRITY ALLIANCE, LLC.
January 8, 2004 - September 15, 2006
QUESTAR CAPITAL CORPORATION
February 9, 2002 - January 12, 2004
PARKLAND SECURITIES, LLC
June 1, 1996 - February 9, 2002
WALNUT STREET SECURITIES, INC.
September 16, 1991 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
November 8, 1990 - September 23, 1991
OSAIC FS, INC.
February 5, 1990 - November 6, 1990
IDS LIFE INSURANCE COMPANY
February 5, 1990 - November 6, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
May 8, 1989 - February 28, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 9, 1989 - April 19, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 9, 1989 - February 28, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
March 21, 1988 - December 31, 1988
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 24, 1987 - April 13, 1987
PAMCO SECURITIES AND INSURANCE SERVICES
September 26, 1985 - March 2, 1987
MONARCH SECURITIES, INC.
March 29, 1983 - April 9, 1984
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 25, 1982 - October 28, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
CRD#: 162143 / SEC#: 801-76773
Contact information
Red Flags
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