Nicholas Carl Bogard
Professional Summary
Nicholas Carl Bogard was a registered financial advisor. Nicholas was a previously registered financial professional and started their career in finance 1987 - 1999. Nicholas had worked at 3 firms and has passed the Series 63, Series 6, Series 22, Series 26 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
TLP SECURITIES, INC. | TORCHMARK SECURITIES CORPORATION | TMK SECURITIES CORPORATION
Contact Information
Established
Massachusetts since 03/16/1982Firm Type
CorporationFiscal Year End
DecemberDocuments
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1992About the Series 6 examSeries 22 — Direct Participation Programs Representative Examination
Passed Apr 1987About the Series 22 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 1993About the Series 26 examSeries 39 — Direct Participation Programs Principal Examination
Passed Apr 1987About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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