Brian J. Bogart
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.
Brian John Bogart was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1983. Brian had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2017 - February 15, 2019
PURSHE KAPLAN STERLING INVESTMENTS
June 20, 2016 - August 21, 2020
BOGART WEALTH, LLC
November 13, 2014 - July 15, 2016
MORGAN STANLEY
November 13, 2014 - July 15, 2016
MORGAN STANLEY
March 13, 2009 - November 21, 2014
RBC CAPITAL MARKETS, LLC
March 13, 2009 - November 21, 2014
RBC CAPITAL MARKETS, LLC
August 27, 2001 - March 13, 2009
FERRIS, BAKER WATTS, LLC
June 26, 2001 - March 13, 2009
FERRIS, BAKER WATTS, LLC
January 4, 1988 - July 18, 2001
PRUDENTIAL EQUITY GROUP, LLC
September 19, 1983 - January 12, 1988
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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