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Peter J. Vogel

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CRD#: 4541682
PV

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.

Peter J. Vogel was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 2002. Peter had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 12, 2021 - April 28, 2023

BLUE DIAMOND SECURITIES OF AMERICA LLC

BD
CRD#: 158821
New York, NY
Past

February 2, 2010 - July 11, 2019

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

January 9, 2007 - February 23, 2010

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

August 16, 2002 - March 19, 2007

CHAPDELAINE CORPORATE SECURITIES & CO

BD
CRD#: 23741
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/24/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2002
General Securities Representative Examination

Current Firm

BD
BLUE DIAMOND SECURITIES OF AMERICA LLC
BLUE DIAMOND SECURITIES OF AMERICA LLC | NOVAHILL PARTNERS, LLC | I(X) SECURITIES, LLC

CRD#: 158821 / SEC#: , 8-68928

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

Main Address
40 Wall St Ste 2931, New York, NY 10005
Mailing Address
9000 Keystone Crossing 7th Fl Attn: Matthew Reynolds, Indianapolis, IN, 46240
Phone number
(312) 399-4932
Established
Virginia since 10/06/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
HASAN, RUSERIM SENOCEO1315687
CHIU, PETER FMEMBER8015031
REYNOLDS, MATTHEW MARKFINOPS4077413
REYNOLDS, MATTHEW MARKPRESIDENT, PRINCIPAL4077413
REYNOLDS, MATTHEW MARKCHIEF COMPLIANCE OFFICER4077413

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

BLUE DIAMOND SECURITIES OF AMERICA LLC

CRD#: 158821

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