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DP

Donald Pogan

LFT SECURITIES
CINCINNATI, OH 45202-3931
Some features on this profile are disabled
CRD#: 5611677
DP

Professional summary

Donald Pogan, who also goes by Pogan, is a registered financial professional currently at LFT SECURITIES, LLC located in Cincinnati, Ohio.

Donald is registered as a RR (Registered Representative) and started their career in finance in 2011. Donald has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pogan

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Donald Pogan'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®
None

Experience

Current

July 25, 2018 - Present

LFT SECURITIES, LLC

Office #1: 425 Walnut Street, Suite 2410, Cincinnati, OH 45202-3931Office #2: 425 Walnut Street Suite 2410, Cincinnati, OH 45202
BD
CRD#: 290210
CINCINNATI, OH
Past

February 4, 2013 - March 25, 2021

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
Cincinnati, OH
Past

July 14, 2011 - January 22, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
DUBLIN, OH
Past

February 24, 2011 - January 22, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
DUBLIN, OH

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
Ohio
(7/26/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/13/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/15/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LFT SECURITIES, LLC
ADVANCED TRADING & LINKED ASSET STRATEGIES, LLC | LFT SECURITIES, LLC

CRD#: 290210 / SEC#: , 8-70015

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 Walnut Street Suite 2500, Cincinnati, OH 45202-3931
Mailing Address
425 Walnut Street Suite 2500, Cincinnati, OH 45202-3931
Phone number
(844) 844-5862
Established
Delaware since 06/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LUMA FINANCIAL TECHNOLOGIES, LLCOWNER, SOLE MEMBER
BONACCI, TIMOTHY JOHNPRESIDENT & CEO4194271
JENKINS, ROBERT PATRICKCHIEF FINANCIAL OFFICER6030790
POGAN, DONALDCOO & POO5611677
RUSSELL, SARAH DETLINGPRINCIPAL FINANCIAL OFFICER & FINOP6727189
STACHE, PAUL GERARDCHIEF COMPLIANCE OFFICER1170097

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.

Company Information

LFT SECURITIES, LLC

CRD#: 290210Cincinnati, OH 45202-3931

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