JB
Jeffrey A. Bogart
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CRD#: 2049796
JB
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.
Jeffrey Allen Bogart was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1990. Jeffrey had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
JEFFREY BOGART INSURANCE AGENT POSITION: Sole prop NATURE: annuity and insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/11/1987 ADDRESS: 6690 Beta Dr #212, Mayfield Village Ohio OH 44143, United States DESCRIPTION: Sale of fixed annuities but not indexed annuities JEFFREY A BOGART INVESTMENT ADVISOR POSITION: Owner/ Investment Advisor NATURE: Investment Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 4 START DATE: 02/01/2002 ADDRESS: 6690 Beta Dr., #212, Mayfield Village OH 44143, United States DESCRIPTION: Check accounts 2-4 times per month, rebalance and reallocate
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 2, 2010 - July 30, 2021
LINCOLN INVESTMENT
BD
CRD#: 519
Mayfield Village, OH
Past
June 22, 2007 - April 4, 2022
JEFFREY A BOGART INVESTMENT ADVISOR
RIA
CRD#: 121141
MAYFIELD VILLAGE, OH
Past
November 9, 2006 - December 31, 2006
JEFFREY A BOGART INVESTMENT ADVISOR
RIA
CRD#: 121141
BEACHWOOD, OH
Past
March 24, 2000 - February 27, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
CRD#: 36451
BEACHWOOD, OH
Past
September 2, 1994 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
BEACHWOOD, OH
Past
September 17, 1993 - September 2, 1994
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
September 23, 1992 - August 24, 1993
LEGEND CAPITAL CORPORATION
BD
CRD#: 4149
PALM BEACH GARDENS, FL
Past
May 2, 1990 - September 27, 1990
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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".
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034
Phone number
(215) 887-8111
Established
Pennsylvania since 08/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,293
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
