Katie L. Vogt
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.
Katie Lynn Vogt, who also goes by Katie Lynn Vogt, Katie Vogt, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2011. Katie had worked at 4 firms and has passed the Series 66, SIE 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
October 22, 2019 - December 11, 2020
IEX SERVICES LLC
April 16, 2015 - May 23, 2019
GOLDMAN SACHS & CO. LLC
February 9, 2012 - March 2, 2015
SCOTIA CAPITAL (USA) INC.
July 11, 2011 - February 3, 2012
HMC INVESTMENTS, LLC
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
IEX SERVICES LLC
CRD#: 167872 / SEC#: , 8-69280
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
