Stephanie M. 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.
Stephanie Maria Vogt was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2016. Stephanie had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2018 - January 4, 2019
PFM FUND DISTRIBUTORS, INC.
February 22, 2017 - November 28, 2017
BEACON POINTE WEALTH ADVISORS, LLC
February 22, 2017 - November 28, 2017
BEACON POINTE ADVISORS, LLC
October 20, 2016 - March 29, 2017
WALDEN CAPITAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
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.
