Frank A. Oftring
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.
Frank A Oftring, who also goes by Frank Anthony Oftring, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1992. Frank had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2017 - January 10, 2020
EAGLE STRATEGIES LLC
November 8, 2017 - January 10, 2020
NYLIFE SECURITIES LLC
November 6, 2014 - October 5, 2016
SANTANDER SECURITIES LLC
September 12, 2014 - October 5, 2016
SANTANDER SECURITIES LLC
July 16, 2008 - August 13, 2014
CITIZENS SECURITIES, INC.
July 15, 2008 - August 13, 2014
CITIZENS SECURITIES, INC.
April 18, 2006 - July 3, 2008
OSAIC INSTITUTIONS, INC.
March 28, 2006 - July 3, 2008
OSAIC INSTITUTIONS, INC.
October 20, 2004 - March 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - March 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 13, 2002 - October 20, 2004
QUICK & REILLY, INC.
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
January 2, 1996 - September 25, 2000
FIS SECURITIES, INC.
February 27, 1995 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
February 8, 1995 - February 28, 1995
ANTAEUS CAPITAL, INC.
February 4, 1994 - February 9, 1995
CAPITOL SECURITIES & ASSOCIATES, INC.
April 27, 1992 - February 9, 1994
CARILLON INVESTMENTS, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
