Carl W. Thomason

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CRD#: 2100429

Professional summary

Carl Wade Thomason was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carl is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Carl had worked at 6 firms, which includes OFG FINANCIAL SERVICES INC., VSR FINANCIAL SERVICES INC., WMA SECURITIES INC., VOYA FINANCIAL ADVISORS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

C. Wade Thomason | Wade Thomason

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

June 23, 1997 - November 23, 2021

OFG FINANCIAL SERVICES, INC.

CRD#: 23940

OVERLAND PARK, KS

Past

December 9, 1996 - June 13, 1997

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

September 25, 1996 - November 18, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

December 12, 1995 - September 24, 1996

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

March 13, 1995 - December 20, 1995

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 22, 1990 - September 26, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 22, 1990 - September 26, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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: 10/25/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/18/1990

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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Firm Stability Insights

Carl W. Thomason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VSR FINANCIAL SERVICES, INC.

WMA SECURITIES, INC.

VSR FINANCIAL SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

OFG FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/25/1990

SIE

Date: 10/1/2018

Series 6

Date: 10/18/1990

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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