William G. 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.
William Gustav Vogel, who also goes by Bill Vogel, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 22, Series 8, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2012 - December 31, 2012
GLOBAL INVESTMENT ADVISORS, LLC
September 2, 2011 - December 31, 2012
ESSEX SECURITIES LLC
May 30, 2007 - October 28, 2009
UBS FINANCIAL SERVICES INC.
May 30, 2007 - October 28, 2009
UBS FINANCIAL SERVICES INC.
October 14, 1999 - February 15, 2007
MORGAN STANLEY DW INC.
March 23, 1999 - February 15, 2007
MORGAN STANLEY DW INC.
May 16, 1997 - June 12, 1998
WELLS FARGO SECURITIES INC.
June 7, 1993 - April 30, 1997
NATIONSSECURITIES
December 14, 1992 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 18, 1989 - December 31, 1990
KIDDER, PEABODY & CO. INCORPORATED
November 18, 1985 - October 22, 1987
AUBURN SECURITIES CORPORATION
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
Series 8
Date: 7/30/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GLOBAL INVESTMENT ADVISORS, LLC
CRD#: 121442 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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