Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
MATTHEW RALPH BOGAN
MATT BOGAN
CRD#: 2224597
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 1670 BROADWAY
SUITE 2200, DENVER HUB
DENVER, CO 80202-5602
Registration History
1995200020052010201520202025IAADVICE AND PLANNING SERVICES (CRD# 20472)2013 - Present (11 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2011 - Present (14 years)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2005 - 2009 (4 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - 2005 (5 years)BBROWN & COMPANY SECURITIES COR... (CRD# 1326)1995 - 1999 (4 years)BCOHIG & ASSOCIATES, INC. (CRD# 16184)1993 - 1994 (1 year)BKOBER FINANCIAL CORP. (CRD# 17551)1992 - 1993 (<1 year)
License(s)

State Registrations

B
Alabama 4/20/2011
B
Missouri 4/20/2011
B
Alaska 4/20/2011
B
Montana 4/20/2011
B
Arizona 4/20/2011
B
Nebraska 4/20/2011
B
Arkansas 4/20/2011
B
Nevada 4/20/2011
B
California 4/20/2011
B
New Hampshire 4/20/2011
B
Colorado 4/20/2011
B
New Jersey 4/20/2011
IA
Colorado 10/2/2013
B
New Mexico 4/20/2011
B
Connecticut 4/20/2011
B
New York 4/20/2011
B
Delaware 4/20/2011
B
North Carolina 5/3/2011
B
District of Columbia 4/20/2011
B
North Dakota 4/20/2011
B
Florida 4/20/2011
B
Ohio 4/20/2011
B
Georgia 4/20/2011
B
Oklahoma 4/20/2011
B
Hawaii 4/20/2011
B
Oregon 4/20/2011
B
Idaho 4/20/2011
B
Pennsylvania 4/20/2011
B
Illinois 4/20/2011
B
Rhode Island 4/20/2011
B
Indiana 4/20/2011
B
South Carolina 4/20/2011
B
Iowa 4/20/2011
B
South Dakota 4/20/2011
B
Kansas 4/20/2011
B
Tennessee 4/20/2011
B
Kentucky 4/20/2011
B
Texas 4/20/2011
B
Louisiana 4/20/2011
B
Utah 4/20/2011
B
Maine 4/20/2011
B
Vermont 4/20/2011
B
Maryland 4/20/2011
B
Virginia 4/20/2011
B
Massachusetts 4/20/2011
B
Washington 4/20/2011
B
Michigan 4/20/2011
B
West Virginia 4/20/2011
B
Minnesota 4/20/2011
B
Wisconsin 4/20/2011
B
Mississippi 4/20/2011
B
Wyoming 4/20/2011

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
1670 BROADWAY SUITE 2200, DENVER HUB, DENVER, CO 80202-5602
Englewood, CO
Registered with this firm since 10/2/2013
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
1670 BROADWAY SUITE 2200, DENVER HUB, DENVER, CO 80202-5602
Englewood, CO
Registered with this firm since 4/20/2011
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/31/2005 - 06/03/2009 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
B
 02/04/2000 - 02/07/2005 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 03/24/1995 - 12/23/1999 BROWN & COMPANY SECURITIES CORPORATION (CRD#:1326) BOSTON, MA
B
 01/25/1993 - 10/31/1994 COHIG & ASSOCIATES, INC. (CRD#:16184) ENGLEWOOD, CO
B
 06/10/1992 - 01/25/1993 KOBER FINANCIAL CORP. (CRD#:17551) ENGLEWOOD, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, 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.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.