Matthew Vogwill
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.
Matthew Vogwill, who also goes by Matthew Walter Vogwill, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1994. Matthew had worked at 13 firms and has passed the Series 63, SIE, 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
February 9, 2015 - November 27, 2017
NEWOAK CAPITAL MARKETS LLC
July 17, 2014 - September 29, 2014
WTS PROPRIETARY TRADING GROUP LLC
July 27, 2011 - July 25, 2012
ECHOTRADE LLC
January 28, 2011 - May 9, 2011
OCEAN VIEW CAPITAL, LLC
January 20, 2009 - August 14, 2009
G-2 TRADING,LLC
February 29, 2008 - August 14, 2009
RBC CAPITAL MARKETS, LLC
January 11, 2005 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
August 11, 2003 - October 20, 2004
MAY FINANCIAL CORPORATION
March 11, 2002 - September 6, 2002
MELVIN SPECIALISTS, L.L.C.
October 12, 2000 - December 31, 2001
SERVICE ASSET MANAGEMENT COMPANY
September 22, 1999 - December 15, 2000
PENSON FINANCIAL SERVICES, INC.
July 29, 1998 - September 24, 1999
SOUNDVIEW TECHNOLOGY CORPORATION
August 31, 1994 - July 1, 1998
AMERIPRISE ADVISOR SERVICES, 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 55
Date: 5/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
NEWOAK CAPITAL MARKETS LLC
CRD#: 104063 / SEC#: , 8-52532
Contact information
FINRA licenses (9 States and Territories)
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.
