MP
Michael C. Peck
OFG FINANCIAL SERVICES
Topeka, KS 66603-3515
Some features on this profile are disabled
CRD#: 1189103
MP
Professional summary
Michael Charles Peck, who also goes by Mike Peck, is a registered financial professional currently at OFG FINANCIAL SERVICES, INC. located in Topeka, Kansas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 6 firms and has passed the Series 63 and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Peck
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Michael Charles Peck's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 1, 1992 - Present
OFG FINANCIAL SERVICES, INC.
Office #1: Townsite Plaza #2, Suite 105 120 Se 6th Avenue, Topeka, KS 66603-3515RIA
BD
CRD#: 23940
Topeka, KS
Past
May 30, 1984 - April 1, 1992
THE COLUMBIAN SECURITIES CORPORATION
BD
CRD#: 169
Past
December 21, 1983 - February 13, 1987
OSAIC FA, INC.
BD
CRD#: 3978
Past
December 21, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
December 21, 1983 - June 8, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 22, 1983 - April 13, 1987
AMERICAN FIDELITY SECURITIES, INC.
BD
CRD#: 11852
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OF
OFG FINANCIAL SERVICES, INC.
DEARBORN AND CREGGS, INC. | SECURITY FINANCIAL SERVICES, INC. | PATHWAY FINANCIAL SOLUTIONS | OGDON FINANCIAL SERVICES, INC. | OFG FINANCIAL SERVICES, INC. | MODERN ADVISOR GROUP
CRD#: 23940 / SEC#: 801-127727, 8-40770
RIA
Registered Investment Advisory firm - SEC (4/24/2023 Approved)Arizona
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Missouri
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/14/2025 Terminated)Texas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(2/19/2013)
RR
Colorado(5/19/2000)
RR
Iowa(1/5/2024)
RR
Kansas(4/1/1992)
RR
Missouri(1/3/2001)
RR
New Mexico(2/20/2007)
RR
Oklahoma(1/8/2002)
RR
Texas(4/3/2006)
Exams
State Security Law Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
OFG FINANCIAL SERVICES, INC.
DEARBORN AND CREGGS, INC. | SECURITY FINANCIAL SERVICES, INC. | PATHWAY FINANCIAL SOLUTIONS | OGDON FINANCIAL SERVICES, INC. | OFG FINANCIAL SERVICES, INC. | MODERN ADVISOR GROUP
CRD#: 23940 / SEC#: 801-127727, 8-40770
RIA
Registered Investment Advisory firm - SEC (4/24/2023 Approved)Arizona
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Missouri
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/14/2025 Terminated)Texas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
Townsite Plaza #2, Suite # 105 Townsite Plaza #2, Suite 105, Topeka, KS 66603-3515
Mailing Address
Townsite Plaza #2, Suite # 105 120 Se 6th Avenue, Topeka, KS 66603-3515
Phone number
(785) 233-4071
Established
Kansas since 12/12/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (5 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 270,000,000 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
