Eric L. Vogen

VISION CAPITAL & MANAGEMENT

MOORESVILLE, NC

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CRD#: 1406908

Professional summary

Eric Lloyd Vogen, CFP® is a registered financial advisor currently at VISION CAPITAL & MANAGEMENT located in Mooresville, North Carolina.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Eric has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Lloyd Vogen's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

January 15, 2004 - Present

VISION CAPITAL & MANAGEMENT

RIA

CRD#: 118363

MOORESVILLE, NC

Past

July 23, 2001 - July 12, 2022

FSC SECURITIES CORPORATION

CRD#: 7461

DAVIDSON, NC

Past

January 3, 1991 - June 5, 2001

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

Past

October 4, 1985 - January 2, 1991

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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".

VISION CAPITAL & MANAGEMENT

VISION CAPITAL | VISISON CAPITAL | VISION CAPITAL MANAGEMENT CORPORATION | VISION CAPITAL MANAGEMENT CORP. | VISION CAPITAL & MANAGEMENT

CRD#: 118363 / SEC#: 801-66188

RIA

Registered Investment Advisory firm - (5/15/2006 Approved)

North Carolina

Registered Investment Advisory firm - (12/13/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(1/15/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/17/1988

Investment Company Products/Variable Contracts Principal Examination

Current Firm

VISION CAPITAL & MANAGEMENT

VISION CAPITAL | VISISON CAPITAL | VISION CAPITAL MANAGEMENT CORPORATION | VISION CAPITAL MANAGEMENT CORP. | VISION CAPITAL & MANAGEMENT

CRD#: 118363 / SEC#: 801-66188

RIA

Registered Investment Advisory firm - (5/15/2006 Approved)

North Carolina

Registered Investment Advisory firm - (12/13/2006 Terminated)

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Contact information

Main Address

108 South Main Street Suite B, Davidson, NC 28036

Mailing Address

Po Box 1750, Davidson, NC 28036

Phone number

(704) 894-9639

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VISION CAPITAL & MANAGEMENT ADV BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	156
AUM (Assets Under Management)	$ 120,920,910

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Eric L. Vogen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Lloyd Vogen's CRS (Customer Relationship Summary).

Certified licenses

Experience

VISION CAPITAL & MANAGEMENT

FSC SECURITIES CORPORATION

LUTHERAN BROTHERHOOD SECURITIES CORP.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

VISION CAPITAL & MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2004

Series 63

Date: 10/21/1987

SIE

Date: 10/1/2018

Series 7

Date: 12/8/1997

Series 6

Date: 10/3/1985

Series 24

Date: 12/17/2003

Series 26

Date: 8/17/1988

Current Firm

VISION CAPITAL & MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VISION CAPITAL & MANAGEMENT

TRUST BUT VERIFY

Contact information

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