Paul L. 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.
Paul Leon Vogel was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1970. Paul had worked at 6 firms and has passed the Series 63, Series 3, Series 15, Series 7, Series 1, Series 4, Series 24, Series 8 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 1995 - October 18, 1995
SUMA SECURITIES, LLC
July 13, 1994 - June 25, 1996
GREAT AMERICAN FINANCIAL NETWORK, INC.
September 30, 1993 - April 29, 1994
UBS FINANCIAL SERVICES INC.
November 21, 1986 - September 30, 1993
CIBC WORLD MARKETS CORP.
August 6, 1986 - November 7, 1986
NORRIS & HIRSHBERG, INC.
April 13, 1970 - October 28, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Series 15
Date: 11/13/1987
Foreign Currency Options ExaminationSeries 1
Date: 3/30/1970
Registered Representative ExaminationSeries 8
Date: 1/13/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMA SECURITIES, LLC
CRD#: 35852 / SEC#: , 8-46939
Contact information
Documents
Red Flags
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