Ronald R. Vogel
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.
Ronald Ray Vogel, who also goes by Ron Vogel, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1980. Ronald had worked at 7 firms and has passed the Series 66, Series 63, Series 5 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
June 21, 2013 - September 11, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 5, 2009 - October 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - October 17, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 17, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 10, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 9, 2005 - August 15, 2007
A. G. EDWARDS & SONS, INC.
September 29, 1989 - August 15, 2007
A. G. EDWARDS & SONS, INC.
March 6, 1989 - October 23, 1989
THE ROBINSON-HUMPHREY COMPANY, LLC
May 14, 1988 - March 9, 1989
LEHMAN BROTHERS INC.
May 22, 1980 - May 14, 1988
E. F. HUTTON & COMPANY INC
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
Series 5
Date: 9/28/1981
Interest Rate Options ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
