JAMES EDWARD BOGART BrokerCheck .pdf

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3/29/2018

JAMES EDWARD BOGART - BrokerCheck

JAMES EDWARD BOGART
CRD#: 5349230
B

Broker Regulated by FINRA

IA

Investment Adviser   Visit SEC

PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747
2010 Corporate Ridge Suite 580
McLean, VA 22102




1

Disclosure

Disclosures





of
10 Years
Experience
4 Firms






2

Exams
Passed






15 State
Licenses




View By: Date

11/30/2016

Customer Dispute

Pending

Allegations

Claimant alleged, inter alia, unsuitability with respect to
investments in managed accounts - 2015 to
2016.UNSPECIFIED.

Damage Amount Requested

$25,711.11





 Arbitration Details
 Disciplinary Action Details

Examinations

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State Securities Law Exam



Series 66 - Uniform Combined State Law Examination
Jul 28, 2007

General Industry/Products Exam



Series 7 - General Securities Representative Examination
Jul 10, 2007

Licenses

State Registrations
B

Arizona

B

New Jersey

B

California

B

North Carolina

B

District of Columbia

B

Pennsylvania

B

Florida

B

South Carolina

B

Hawaii

B

Tennessee

B

Maryland

B

Texas

B

Mississippi

B

Virginia

B

Montana

SRO Registrations


FINRA

Current Employments

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PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747)
 2010 Corporate Ridge Suite 580, McLean, VA 22102
 820 Gessner Suite 1110, Houston, TX 77024

 1725 Hughes Landing Blvd. Suite 845, The Woodlands, TX 77380
Registered with this firm since 10/3/2016

Broker Registration History
MORGAN STANLEY (CRD#:149777)
MCLEAN, VA
11/13/2014 - 07/15/2016

RBC CAPITAL MARKETS, LLC (CRD#:31194)
MCLEAN, VA
03/13/2009 - 11/21/2014

FERRIS, BAKER WATTS, LLC (CRD#:285)
MCLEAN, VA
07/11/2007 - 03/13/2009

Additional Information
The content of this summary, and the available detailed report, is governed by FINRA Rule 8312,
and is primarily based on information filed on uniform registration forms. Rule 8312, amendments
to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can
be viewed here.
State regulators are governed by their public records laws (not FINRA Rule 8312), and may
provide information not in BrokerCheck, including information no longer required to be reported or
updated on uniform registration forms due, for example, to its age or final disposition. You may
contact your state regulator to request this additional information.
Click here for more information about how to check on an investment professional.

B

Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks,
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bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its
own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA

Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some
investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of
this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser
Public Disclosure (IAPD) website so you can research further.

PR Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and
selling securities on behalf of customers) or as an investment adviser (providing advice about securities
to clients). They may still be able to offer other investment-related services if properly licensed to do so.
Click here to learn more.



Disclosures

Disclosures can be any customer complaints or arbitrations, regulatory actions, employment
terminations, bankruptcy filings and any civil or criminal proceedings that they were a part of.
Use of the BrokerCheck site is subject to
BrokerCheck Terms of Use


Privacy |


Legal

2018 FINRA, All Rights Reserved
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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