Steven C. 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.
Steven Craig Vogel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 7 firms and has passed the Series 63, Series 55 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
January 25, 2013 - April 16, 2013
WESTOR CAPITAL GROUP, INC.
August 22, 2005 - January 20, 2011
HUDSON SECURITIES,INC.
March 3, 2003 - September 1, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
May 20, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
October 1, 2001 - November 19, 2001
CROWN FINANCIAL GROUP, INC.
December 18, 1997 - April 3, 2001
KNIGHT CAPITAL AMERICAS, L.P.
October 6, 1995 - November 19, 1996
KNIGHT CAPITAL AMERICAS, L.P.
May 21, 1986 - October 2, 1995
UBS CAPITAL MARKETS L.P.
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 55
Date: 12/6/1999
Limited Representative-Equity Trader ExamCurrent Firm
WESTOR CAPITAL GROUP, INC.
CRD#: 103823 / SEC#: , 8-52311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOHAWK MANAGEMENT CORP | SHARHOLDER | |
| EVERCORE CAPITAL ADVISORS LLC | SHAREHOLDER | |
| BACH, RICHARD HANS | PRESIDENT / CHIEF COMPLIANCE OFFICER / FINOP | 1011097 |
Disclosures
| Regulatory Event | 18 |
| Financial | 1 |
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.
