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Theodore Joseph Vogt

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Other Names: Ted Vogt
Type: SEC and FINRA Registered

Theodore Vogt is a financial professional at LPL Financial LLC, a broker-dealer with over 18,100 registered representatives nationwide. Theodore has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
LPL Financial LLC 8 years, 1 month Oct 2007 - Present
Morgan Stanley & Co., Incorporated 6 months Apr 2007 - Oct 2007
Dean Witter Reynolds Inc. 11 years, 11 months May 1995 - Apr 2007
Concept Marketins 26 years, 7 months Mar 1981 - Oct 2007
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 01/29/1996
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 09/09/1995
General Securities Principal ExaminationSeries 24 07/16/1987
Uniform Securities Agent State Law ExaminationSeries 63 09/08/1982
General Securities Representative ExaminationSeries 7 08/21/1982

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Theodore Joseph Vogt has not answered any questions on Financial Q&A.

Top Articles

Theodore Joseph Vogt has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

2 Customer Disputes

2 Customer Disputes

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions