Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Vogel has been in the financial industry since 2002. Richard is currently registered with Kestra Investment Services, LLC in Ohio and works out of the Toledo office. Richard is also registered in Georgia, Florida, Illinois, Michigan, Indiana, and North Carolina. Prior to working for Kestra Investment Services, LLC, Richard worked for Lincoln Financial Distributors, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard holds licenses for Series 63, 65, 7, 24, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
OH
03/20/2024 - Present
Kestra Investment Services, LLC (TOLEDO OH)
GA
04/28/2015 - 02/02/2023
LINCOLN FINANCIAL DISTRIBUTORS, INC. (ROSWELL GA)
GA
05/03/2002 - 04/24/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALPHARETTA GA)
NY
11/09/1999 - 04/10/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 12/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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