James A. Vogl
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.
James August Vogl, CFA was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2019 - February 25, 2022
KOPENTECH CAPITAL MARKETS LLC
January 13, 2017 - December 7, 2018
CITY NATIONAL ROCHDALE
August 26, 2016 - December 7, 2018
CNR SECURITIES, LLC
November 20, 2013 - August 19, 2016
DFA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
KOPENTECH CAPITAL MARKETS LLC
CRD#: 299808 / SEC#: , 8-70331
Contact information
FINRA licenses (23 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.
