George K Vogt

CRD 455376 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Frontenac, MO

IA RegisteredBroker

Also appears in the source record as: George Kenneth Vogt

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 12Series 7TOSIESeries 18Series 000Series 1
Registered states (24): Arizona · California · Colorado · Connecticut · Florida · Georgia · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Missouri · New Jersey · New York · North Carolina · Oregon · Rhode Island · South Carolina · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 54
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Frontenac, MO · IA capacity

Mar 30, 1988 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Frontenac, MO · BC capacity

start not retrieved → present
Shearson Lehman Hutton Inc.
BD capacity

Apr 11, 1988 → Apr 27, 1988
E. F. Hutton & Company Inc
BD capacity

Jul 30, 1979 → Apr 11, 1988
Blyth Eastman Dillon & Co. Incorporated
BD capacity

Jun 16, 1978 → Sep 7, 1979
White, Weld & Co. Incorporated
BD capacity

Nov 1, 1977 → Jun 26, 1978
Merrill Lynch, Pierce, Fenner & Smith, Inc.
BD capacity

Apr 10, 1972 → Oct 30, 1974

Source & corrections

Where this page comes from

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