Christopher J. Vogel
Professional summary
Christopher John Vogel is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has 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) - BD
Click below to view Christopher John Vogel's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2017 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017July 28, 2021 - May 12, 2025
TD FINANCIAL PRODUCTS 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
(12/1/2017)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
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.
