CV
Courtney E. Vogel
INVESCO DISTRIBUTORS
Greenwood Village, CO 80111
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CRD#: 5108494
CV
Professional summary
Courtney Elizabeth Vogel, who also goes by Courtney Elizabeth Rains, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Greenwood Village, Colorado.
Courtney is registered as a RR (Registered Representative) and started their career in finance in 2006. Courtney has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Courtney Elizabeth Rains
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.
CRS (Client Relationship Summary) - BD
Click below to view Courtney Elizabeth Vogel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 25, 2019 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 6400 S. Fiddlers Green Circle Suite 800, Greenwood Village, CO 80111BD
CRD#: 7369
Greenwood Village, CO
Past
November 26, 2014 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
March 3, 2011 - June 19, 2013
VAN ECK SECURITIES CORPORATION
BD
CRD#: 2269
NEW YORK, NY
Past
June 28, 2010 - February 1, 2011
DIRECT ACCESS PARTNERS LLC
BD
CRD#: 120950
NEW YORK, NY
Past
May 11, 2010 - July 16, 2010
MAXIM GROUP LLC
BD
CRD#: 120708
NEW YORK, NY
Past
May 1, 2010 - May 26, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
MINNEAPOLIS, MN
Past
May 1, 2010 - May 26, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
April 5, 2010 - May 1, 2010
BOFA ADVISORS, LLC
RIA
CRD#: 107900
BOSTON, MA
Past
November 7, 2009 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
June 2, 2006 - October 8, 2009
SIDOTI & COMPANY, LLC
BD
CRD#: 102860
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2021)
RR
Alaska(6/8/2021)
RR
Arizona(6/8/2021)
RR
Arkansas(6/8/2021)
RR
California(6/8/2021)
RR
Colorado(6/8/2021)
RR
Connecticut(6/8/2021)
RR
Delaware(6/8/2021)
RR
District of Columbia(6/8/2021)
RR
Florida(6/8/2021)
RR
Georgia(6/8/2021)
RR
Hawaii(6/8/2021)
RR
Idaho(6/8/2021)
RR
Illinois(6/8/2021)
RR
Indiana(6/8/2021)
RR
Iowa(6/8/2021)
RR
Kansas(6/8/2021)
RR
Kentucky(6/8/2021)
RR
Louisiana(6/8/2021)
RR
Maine(6/8/2021)
RR
Maryland(6/8/2021)
RR
Massachusetts(6/8/2021)
RR
Michigan(6/8/2021)
RR
Minnesota(6/8/2021)
RR
Mississippi(6/8/2021)
RR
Missouri(6/8/2021)
RR
Montana(6/8/2021)
RR
Nebraska(6/8/2021)
RR
Nevada(6/8/2021)
RR
New Hampshire(6/8/2021)
RR
New Jersey(5/25/2019)
RR
New Mexico(6/8/2021)
RR
New York(5/25/2019)
RR
North Carolina(6/8/2021)
RR
North Dakota(6/8/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/8/2021)
RR
Oregon(6/8/2021)
RR
Pennsylvania(5/25/2019)
RR
Puerto Rico(6/8/2021)
RR
Rhode Island(6/8/2021)
RR
South Carolina(6/8/2021)
RR
South Dakota(6/8/2021)
RR
Tennessee(6/8/2021)
RR
Texas(6/8/2021)
RR
Utah(6/8/2021)
RR
Vermont(6/8/2021)
RR
Virgin Islands(6/8/2021)
RR
Virginia(6/8/2021)
RR
Washington(6/8/2021)
RR
West Virginia(6/8/2021)
RR
Wisconsin(6/8/2021)
RR
Wyoming(6/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.
CRD#: 7369 / SEC#: , 8-21323
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESCO ADVISERS, INC. | DIRECT OWNER | |
| GREGSON, MARK WILLIAM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP | 2630230 |
| HANCOCK, TRISHA BELL | CHIEF COMPLIANCE OFFICER | 4373744 |
| HARRIS, JERRY CLINTON II | DIRECTOR | 3275064 |
| KRAMER, BRIAN KEITH | DIRECTOR | 4132102 |
| MCDONOUGH, JOHN CARLIN | PRESIDENT/CEO/DIRECTOR | 2363299 |
| WISDOM, CRISSIE MCMENNAMY | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2793857 |
Disclosures
| Regulatory Event | 3 |
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.
