David C. Vogt

STRATEGIC WEALTH PARTNERS

Cotopaxi, CO

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CRD#: 3065080

Professional summary

David Charles Vogt, CFP®, who also goes by David C Vogt, is a registered financial advisor currently at STRATEGIC WEALTH PARTNERS, LLC located in Cotopaxi, Colorado.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. David has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David C Vogt

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.

OTHER OUTSIDE INSURANCE BROKERAGE BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Vogt'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®

CFP^®

Certified Financial Planner

Experience

Current

January 8, 2024 - Present

STRATEGIC WEALTH PARTNERS, LLC

RIA

CRD#: 156670

Cotopaxi, CO

Past

May 4, 2011 - December 31, 2023

STRATEGIC WEALTH PARTNERS, LLC

RIA

CRD#: 156670

COTOPAXI, CO

Past

April 15, 1999 - May 4, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

FALLS CHURCH, VA

Past

June 7, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

June 7, 1998 - May 4, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

FALLS CHURCH, VA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(1/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/3/1998

General Securities Representative Examination

Current Firm

STRATEGIC WEALTH PARTNERS, LLC

CRD#: 156670 / SEC#:

Colorado

Registered Investment Advisory firm - (9/22/2020 Approved)

Maryland

Registered Investment Advisory firm - (12/31/2023 Failure to Renew)

Virginia

Registered Investment Advisory firm - (5/4/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Cotopaxi, CO

Mailing Address

Phone number

(719) 285-9530

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 12,186,513

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn - Failed to Renew	12/31/2023

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.

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Firm Stability Insights

David C. Vogt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Charles Vogt's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC WEALTH PARTNERS, LLC

STRATEGIC WEALTH PARTNERS, LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/1999

Series 63

Date: 6/3/1998

Series 7

Date: 6/3/1998

Current Firm

STRATEGIC WEALTH PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

STRATEGIC WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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