Donna M. Vogt
Professional summary
Donna Marie Vogt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donna is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Donna had worked at 4 firms, which includes BROOKSTREET SECURITIES CORPORATION, RAYMOND JAMES FINANCIAL SERVICES INC., ROBERT THOMAS SECURITIES INC, ROBERT W. BAIRD & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2003 - April 28, 2006
BROOKSTREET SECURITIES CORPORATION
January 4, 1999 - June 17, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 24, 1985 - May 12, 1995
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
Red Flags
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