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MR

Michelle V. Rogers

KOVACK SECURITIES
Ft. Lauderdale, FL 33308
Some features on this profile are disabled
CRD#: 2624712
MR

Professional summary

Michelle Vogt Rogers, who also goes by Michelle Vogt Capo, Michelle Capo, Michelle Vogt, Michelle Vogt-capo, is a registered financial professional currently at KOVACK SECURITIES INC. located in Ft. Lauderdale, Florida.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 1998. Michelle has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle Vogt Capo | Michelle Capo | Michelle Vogt | Michelle Vogt-Capo

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) - BD

Click below to view Michelle Vogt Rogers's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 8, 2018 - Present

KOVACK SECURITIES INC.

Office #1: 6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
BD
CRD#: 44848
Ft. Lauderdale, FL
Past

December 22, 2017 - May 1, 2018

AK CAPITAL LLC

BD
CRD#: 28345
Boca Raton, FL
Past

January 3, 2007 - January 7, 2016

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
WESTON, FL
Past

March 25, 2004 - December 31, 2006

CITCO MUTUAL FUND DISTRIBUTORS, INC.

BD
CRD#: 41920
MALVERN, PA
Past

March 29, 2001 - September 11, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LARGO, FL
Past

March 29, 2001 - September 11, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 12, 2000 - March 7, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

January 26, 2000 - March 28, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 26, 1998 - January 24, 2000

SUNCOAST CAPITAL GROUP, LTD.

BD
CRD#: 31214
FT. LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/8/2018)
RR
Florida
(5/8/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/27/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/19/1999
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 31
Date: 4/24/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/24/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

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

KOVACK SECURITIES INC.

CRD#: 44848Ft. Lauderdale, FL 33308

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