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Theodore Joseph Vogt

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Information

Other Names: Ted Vogt, Theodore Joseph Vogt Jr
Firm:
Type: Dual Registration
Description

Theodore Vogt is a financial professional at LPL Financial LLC, a broker-dealer with over 18,000 registered representatives nationwide. Theodore has held an industry securities registration for 31 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
LPL Financial LLC 6 years, 11 months 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
Exams
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 Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

Individuals
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

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
04/02/2012
07/20/2013
*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

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Types of Compensation Arrangements

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