Eric VogenCRD Number: 1406908
Current Firm: Vision Capital & Management
Eric Vogen (CRD# 1406908) is an Investment Advisor Representative working at Vision Capital & Management in Davidson, NC and has over 30 years of experience in the finance industry. Eric Vogen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Fsc Securities Corp.||Davidson, GA||Jul 2001 - Current||16|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1987|
|S65||NASAA Investment Advisors Law Examination||Feb 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management99MILLIONS
Total Number of Accounts179ACCOUNTS
Average Account Value$553,222
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients