Thomas W. Cook

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CRD#: 1257490

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Wayne Cook, who also goes by Tom Cook, Wallace Wayne Cook, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Cook | Wallace Wayne Cook

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 30, 2012 - August 31, 2018

OFG FINANCIAL SERVICES, INC.

CRD#: 23940

TOPEKA, KS

Past

August 14, 2009 - November 29, 2010

NYLIFE SECURITIES LLC

CRD#: 5167

MIDLAND, TX

Past

February 18, 1999 - June 26, 2009

INSTITUTIONAL SECURITIES CORPORATION

CRD#: 20291

MIDLAND, TX

Past

February 14, 1997 - December 31, 1998

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

August 24, 1995 - December 3, 1996

PATTERSON ICENOGLE, INC.

CRD#: 15652

Past

September 29, 1993 - August 28, 1995

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

March 2, 1989 - August 4, 1993

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 2, 1989 - August 4, 1993

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 4, 1987 - March 14, 1989

THE COLUMBIAN SECURITIES CORPORATION

CRD#: 169

Past

July 8, 1986 - January 12, 1988

SOURCE SECURITIES, INC.

CRD#: 8026

Past

May 9, 1984 - July 10, 1986

USLIFE EQUITY SALES CORP.

CRD#: 7962

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".

OFG FINANCIAL SERVICES, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/7/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OFG FINANCIAL SERVICES, INC.

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)

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

SEC notice filing (5 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OFG FORM ADV PART II (7/29/2025)

Direct owners and executive officers

Name	Position	CRD#
OGDON, JAMES KENNETH	PRESIDENT & DIRECTOR	351370
MCMASTER, TYLER JOHN	SENIOR VICE PRESIDENT	2368175
PAYNE, TODD MATTHEW	SECRETARY-TREASURER, DIRECTOR & CCO	5513536

Regulatory assets under management

Total Number of Accounts	850
AUM (Assets Under Management)	$ 270,000,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Thomas W. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

INSTITUTIONAL SECURITIES CORPORATION

CETERA ADVISORS LLC

PATTERSON ICENOGLE, INC.

SUNAMERICA SECURITIES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

THE COLUMBIAN SECURITIES CORPORATION

SOURCE SECURITIES, INC.

USLIFE EQUITY SALES CORP.

Primary Firm SEC Registration

OFG FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1984

SIE

Date: 8/31/2018

Series 6

Date: 4/7/1984

Current Firm

OFG FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OFG FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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