Gavin T. Bogart
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.
Gavin Terry Bogart, CFA was a registered financial professional .
Gavin is a previously registered financial professional and started their career in finance in 2011. Gavin had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2014 - March 15, 2017
VINTAGE WEST CAPITAL MANAGEMENT
March 12, 2012 - September 28, 2012
SPIRE SECURITIES, LLC
March 9, 2012 - February 20, 2014
KESTRA PRIVATE WEALTH SERVICES, LLC
September 2, 2011 - March 27, 2012
MORGAN STANLEY
August 5, 2011 - March 27, 2012
MORGAN STANLEY
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
Current Firm
VINTAGE WEST CAPITAL MANAGEMENT
CRD#: 170186 / SEC#: 801-79048
Contact information
Regulatory assets under management
| Total Number of Accounts | 377 |
| AUM (Assets Under Management) | $ 329,526,280 |
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.
