Michael L. Vogt
Professional summary
Michael Lawrence Vogt was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Michael had worked at 8 firms, which includes GUNNALLEN FINANCIAL INC, FIRST MONTAUK SECURITIES CORP., CARNEGIE INVESTOR SERVICES INC., THE CONCORD EQUITY GROUP LLC, INTERNATIONAL BOND AND SHARE INC., GOLDIS FINANCIAL GROUP INC., MEYERS POLLOCK ROBBINS INC., STERLING FOSTER & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2002 - December 3, 2004
GUNNALLEN FINANCIAL, INC
January 26, 2001 - April 19, 2002
FIRST MONTAUK SECURITIES CORP.
January 5, 2001 - January 17, 2001
CARNEGIE INVESTOR SERVICES INC.
November 23, 1998 - December 21, 2000
THE CONCORD EQUITY GROUP, LLC
August 27, 1998 - August 3, 1999
INTERNATIONAL BOND AND SHARE, INC.
October 25, 1997 - August 6, 1998
GOLDIS FINANCIAL GROUP, INC.
April 17, 1997 - October 16, 1997
MEYERS POLLOCK ROBBINS, INC.
January 20, 1995 - March 10, 1997
STERLING FOSTER & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
Red Flags
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