MV
Michael F. Vogel
FIS BROKERAGE & SECURITIES SERVICES LLC
Bolingbrook, IL 60440
Some features on this profile are disabled
CRD#: 2814935
MV
Professional summary
Michael Francis Vogel, who also goes by Mike Vogel, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 99 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Vogel
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Francis Vogel's 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®
NoneExperience
Current
January 2, 2014 - Present
FIS BROKERAGE & SECURITIES SERVICES LLC
Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440BD
CRD#: 104162
Bolingbrook, IL
Past
May 24, 2012 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
BD
CRD#: 8509
GENEVA, IL
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
Alabama(10/24/2022)
RR
Alaska(10/24/2022)
RR
Arizona(10/24/2022)
RR
Arkansas(10/24/2022)
RR
California(10/24/2022)
RR
Colorado(10/24/2022)
RR
Connecticut(10/24/2022)
RR
Delaware(10/24/2022)
RR
District of Columbia(10/24/2022)
RR
Florida(10/24/2022)
RR
Georgia(10/24/2022)
RR
Hawaii(10/24/2022)
RR
Idaho(10/24/2022)
RR
Illinois(7/13/2015)
RR
Indiana(10/24/2022)
RR
Iowa(10/24/2022)
RR
Kansas(10/24/2022)
RR
Kentucky(10/24/2022)
RR
Louisiana(10/24/2022)
RR
Maine(10/24/2022)
RR
Maryland(10/24/2022)
RR
Massachusetts(10/24/2022)
RR
Michigan(10/24/2022)
RR
Minnesota(10/24/2022)
RR
Mississippi(10/24/2022)
RR
Missouri(10/24/2022)
RR
Montana(10/24/2022)
RR
Nebraska(10/24/2022)
RR
Nevada(10/24/2022)
RR
New Hampshire(10/24/2022)
RR
New Jersey(10/24/2022)
RR
New Mexico(10/24/2022)
RR
New York(10/24/2022)
RR
North Carolina(10/24/2022)
RR
North Dakota(10/24/2022)
RR
Ohio(10/25/2022)
RR
Oklahoma(10/24/2022)
RR
Oregon(10/24/2022)
RR
Pennsylvania(12/2/2019)
RR
Puerto Rico(10/24/2022)
RR
Rhode Island(10/24/2022)
RR
South Carolina(10/24/2022)
RR
South Dakota(10/24/2022)
RR
Tennessee(11/12/2021)
RR
Texas(10/24/2022)
RR
Utah(10/24/2022)
RR
Vermont(10/24/2022)
RR
Virgin Islands(10/24/2022)
RR
Virginia(10/24/2022)
RR
Washington(10/24/2022)
RR
West Virginia(10/24/2022)
RR
Wisconsin(10/24/2022)
RR
Wyoming(10/24/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FB
FIS BROKERAGE & SECURITIES SERVICES LLC
ANDOVER CAPITAL PARTNERS LLC | SUNGARD BROKERAGE & SECURITIES SERVICES, LLC | SUNGARD BROKERAGE & SECURITIES SERVICES LLC | PRESCIENT SECURITIES, LLC | FIS BROKERAGE & SECURITIES SERVICES LLC | ASSENT LLC
CRD#: 104162 / SEC#: , 8-52614
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Mailing Address
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Phone number
(630) 482-7300
Established
Delaware since 02/11/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
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.
