While many attorneys can identify potential securities law violations and assert claims such as negligence or breach of fiduciary duty,...
Read MoreVictoria Bogner: $210K Complaint Against Allworth Advisor
Lawrence, Kansas financial advisor Victoria Bogner (CRD# 5048328) allegedly recommended unsuitable BDC investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker with AW Securities and an investment advisor with Allworth Financial.
Ms. Bogner’s BrokerCheck report discloses one investor complaint. Filed in July 2024, it alleges that as a representative of Cetera Advisor Networks, she recommended unsuitable investments in a non-traded business development company (BDC). The pending complaint alleges damages of $210,000.
Allworth Financial’s website includes a page describing the firm’s services and approach. “With unparalleled access to a team of financial experts, your wealth has the advantage every modern investor needs,” it explains. “Smart, sophisticated, comprehensive financial planning and investment solutions with tax, estate, insurance, and more — all under one roof and directed by one point of contact. Because when financial guidance comes with a commitment to put your needs first — and our success is dependent on your success — you get more than just advice. You get a financial ally for life.”
According to the Financial Industry Regulatory Authority, Victoria Bogner holds 18 years of securities industry experience. Based in Lawrence, Kansas, she has been registered as a broker with AW Securities and an investment advisor with Allworth Financial since 2023. Her past registrations include Affinity Financial Advisors and Cetera Advisor Networks. Her credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She holds 29 state licenses. (Information current as of October 20, 2024.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
