Christopher J. Vogel
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.
Christopher John Vogel was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2021 - May 12, 2025
TD FINANCIAL PRODUCTS LLC
December 1, 2017 - November 7, 2025
TD SECURITIES (USA) LLC
August 19, 2013 - September 24, 2013
BLACKROCK CAPITAL MARKETS, LLC
June 16, 2011 - September 7, 2017
BLACKROCK EXECUTION SERVICES
June 15, 2010 - June 7, 2011
SANTANDER US CAPITAL MARKETS LLC
January 2, 2009 - March 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2005 - March 12, 2010
BANC OF AMERICA SECURITIES LLC
October 5, 2001 - February 18, 2005
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD FINANCIAL PRODUCTS LLC
CRD#: 154838 / SEC#: , 8-68677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.) INC. | OWNER | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| MANNION, MARTIN | CO-HEAD OF ELECTRONIC TRADING | 4830837 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| SCHRAGER, MATTHEW | CO-HEAD OF ELECTRONIC TRADING | 6488305 |
| WILSON, KEVIN KEITH | FINANCIAL & OPERATIONS PRINCIPAL | 5437711 |
Red Flags
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