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Luke Obrien Vogt

CRD# 4662711·Registered 2003 - 2021
Previously Registered: Being a previously registered professional could mean that Luke 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.

Professional Summary

Luke Obrien Vogt, who also goes by Luke O Vogt, was a registered financial advisor. Luke was a previously registered financial professional and started their career in finance 2003 - 2021. Luke had worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Luke O Vogt

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

23 years in the financial services industry

Current & Past Employments

DEVON INVESTMENT ADVISORY·CRD# 300425
RIA
San Francisco, CA
September 13, 2019 - March 12, 2021
GLEACHER & COMPANY SECURITIES, INC.·CRD# 298
BD
San Francisco, CA
March 17, 2006 - August 7, 2007
FIRST NEW YORK SECURITIES L.L.C.·CRD# 16362
BD
New York, NY
September 1, 2003 - June 15, 2005

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Current Firm

DI
DEVON INVESTMENT ADVISORY

DEVON INVESTMENT ADVISORY | DEVON INVESTMENT ADVISORY, LLC

CRD#: 300425 / SEC#: 801-114850

Contact Information

Main Address

1400 Post Oak Blvd Suite 450, Houston, TX 77056

Phone Number

(713) 309-9090

# of Employees

4

Documents

Latest Form ADV

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 2019About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2006About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Oct 2003

Series 7 — General Securities Representative Examination

Passed Aug 2003About the Series 7 exam

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CRS (Client Relationship Summary)

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

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