James K. Ofgant
Professional summary
James Kyle Ofgant, who also goes by J Kyle Ofgant, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Smithfield, Rhode Island.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Kyle Ofgant's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2015 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917December 19, 2008 - September 11, 2015
STRATEGIC ADVISERS LLC
May 22, 1998 - September 9, 2015
FIDELITY BROKERAGE SERVICES LLC
January 14, 1997 - October 8, 2001
NATIONAL FINANCIAL SERVICES LLC
February 5, 1996 - December 31, 1996
FIDELITY BROKERAGE SERVICES LLC
July 27, 1994 - November 11, 1994
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Company Information
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041Smithfield, RI 02917TRUST BUT VERIFY
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