Barbara A. Ogram
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.
Barbara Ann Ogram, who also goes by Barbara Ann Kerfoot, Barbara Ann Shaffer, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1995. Barbara had worked at 6 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2012 - December 31, 2012
FINANCIAL TELESIS INC
January 29, 2007 - December 31, 2010
FINANCIAL TELESIS INC
July 19, 2006 - January 23, 2007
PARK AVENUE SECURITIES LLC
September 13, 2004 - March 9, 2006
EMPOWER FINANCIAL SERVICES, INC.
April 2, 2004 - August 25, 2004
VALIC FINANCIAL ADVISORS, INC.
March 12, 2004 - March 24, 2004
PRINCIPAL SECURITIES, INC.
April 5, 1995 - February 28, 1997
LINCOLN FINANCIAL DISTRIBUTORS, 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
Current Firm
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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.
