Joseph A. Vogenthaler
Professional summary
Joseph Anthony Vogenthaler, who also goes by Joe Vogenthaler, Vogie Vogenthaler, is a registered financial advisor currently at FORUM FINANCIAL MANAGEMENT, LP located in Chicago, Illinois.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Joseph has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Vogenthaler's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2020 - Present
FORUM FINANCIAL MANAGEMENT, LP
February 18, 1992 - October 13, 1992
FIRST AMERICAN BILTMORE SECURITIES, INC.
November 6, 1991 - February 18, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Primary Firm SEC Registration
FORUM FINANCIAL MANAGEMENT, LP
CRD#: 145706 / SEC#: 801-69970
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/28/2020)
(7/28/2020)
Exams
Current Firm
FORUM FINANCIAL MANAGEMENT, LP
CRD#: 145706 / SEC#: 801-69970
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,456 |
| AUM (Assets Under Management) | $ 9,030,636,924 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | ||
| 12/20/2024 | ||
| 10/19/2023 |
Red Flags
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