Jacques Joseph Fogel

Current Employers

Fogel Investment Advisory Group, Inc.

Fletcher, NC • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2007-05-25

NC RA
APPROVED

Since 2007-05-25

Branch Locations

Fletcher, NC • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Purshe Kaplan Sterling Investments	Albany	NY	04/2007	Present
Fogel Investment Advisory Group	Fletcher	NC	04/2007	Present

04/2007 → Present

Purshe Kaplan Sterling Investments

Albany, NY
04/2007 → Present

Fogel Investment Advisory Group

Fletcher, NC

Previous Registrations

2003-05-01 → 2007-04-04

Ubs Financial Services Inc.

Asheville, NC

Asheville, NC

Other Businesses

1.) KEVITT PROPERTIES, LLC, MEMBER. 32 ORANGE STREET, ASHEVILLE NC 28801 2) FOGEL INVESTMENT ADVISORY GROUP; INVESTMENT RELATED; 49 OVERTON PLACE, FLETCHER, NC 28732; RIA; OWNER OF RIA; START DATE APRIL 2006; APPROXIMATELY 200 HOURS PER MONTH DURING TRADING HOURS; RESEARCH DEVELOP INVESTMENT STRATEGIES WITH CLIENTS, MANAGEMENT OF BACK OFFICE.FIXED INSURANCE AND ANNUITY SALES. 3)KEVITT PROPERTIES, LLC; INVESTMENT RELATED; 32 ORANGE STREET, ASHEVILLE, NC 28801; REAL ESTATE INVESTMENT; MEMBER; START DATE 2004; LESS THEN 1 HOUR PER MONTH; 0 DURING TRADING; PARTICIPATE IN MEMBER MEETINGS TO DISCUSS PROPERTY AND TENANT ISSUES, PROVIDE CAPITAL WHEN NECESSARY. 4) FOGEL INVESTMENT ADVISORY GROUP- INSURANCE. NOT INVESTMENT RELATED. 49 OVERTON PLACE, FLETCHER, NC 28732. FIXED ANNUITIES AND FIXED INSURANCE SALES. AGENT. USED AS A GENERAL AGENCY FOR THE PURCHASE OF FIXED ANNUITIES AND/OR LIFE INSURANCE FOR CLIENTS ON A AS NEEDED BASIS. IDENTIFY CLIENT NEED, CONTACT GENERAL AGENCY TO RECEIVE QUOTES AND THEN PRESENT SOLUTION TO CLIENT AND PROCESS SALE.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-04-16
S65	Uniform Investment Adviser Law Examination	1998-10-06
S63	Uniform Securities Agent State Law Examination	1997-10-09

S66 Uniform Combined State Law Examination

2003-04-16
S65 Uniform Investment Adviser Law Examination

1998-10-06
S63 Uniform Securities Agent State Law Examination

1997-10-09

View on SEC IAPD