Steven H. 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 Howard Vogel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 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
April 16, 2010 - August 16, 2021
EFG CAPITAL INTERNATIONAL
November 19, 2008 - April 16, 2010
EFG CAPITAL INTERNATIONAL
February 29, 2008 - May 21, 2008
STANCHART SECURITIES INTERNATIONAL, INC.
April 20, 2001 - September 30, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 5, 1988 - October 7, 1989
HSBC BROKERAGE (USA) INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EFG CAPITAL INTERNATIONAL
CRD#: 40118 / SEC#: 801-120569, 8-48969
Contact information
FINRA licenses (30 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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