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Sanders L. Vogel

Some features on this profile are disabled
CRD#: 2556177
SV

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.

Sanders Lawrence Vogel was a registered financial professional .

Sanders is a previously registered financial professional and started their career in finance in 1994. Sanders had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

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®
None

Experience

Past

December 12, 2013 - December 31, 2025

PHILLIPS AND COMPANY ADVISORS LLC

RIA
CRD#: 167214
PORTLAND, OR
Past

September 15, 2004 - December 31, 2013

PHILLIPS & COMPANY

RIA
CRD#: 35800
PORTLAND, OR
Past

December 9, 1994 - March 24, 2025

PHILLIPS & COMPANY

BD
CRD#: 35800
PORTLAND, OR

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".
PA
PHILLIPS AND COMPANY ADVISORS LLC
PHILLIPS AND COMPANY | PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214 / SEC#: 801-63879

RIA
Registered Investment Advisory firm - (10/31/2011 Approved)

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
IAR
Series 65
Date: 7/1/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/8/1994
General Securities Representative Examination

Current Firm

PA
PHILLIPS AND COMPANY ADVISORS LLC
PHILLIPS AND COMPANY | PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214 / SEC#: 801-63879

RIA
Registered Investment Advisory firm - (10/31/2011 Approved)
PREMIUM
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Contact information

Main Address
521 Sw 11th Avenue Suite 200, Portland, OR 97205
Mailing Address
Phone number
(503) 224-0858
Established
Firm type
Fiscal year end
# of Employees
21

SEC notice filing (36 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - FIRM BROCHURE (4/1/2025)
PHILLIPS & COMPANY ADVISORS LLC FORM ADV PART 2A - APPENDIX-WRAP BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts1,525
AUM (Assets Under Management)$ 2,276,351,775

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.

Company Information

PHILLIPS AND COMPANY ADVISORS LLC

CRD#: 167214

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Contact information

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