Jeffery L. Offen
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.
Jeffery Lance Offen, who also goes by Jeffery Lace Offen, Jeffrey Lance Offen, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1997. Jeffery had worked at 18 firms and has passed the Series 63, SIE 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
April 3, 2019 - June 8, 2020
RICHARD JAMES & ASSOCIATES, INC.
October 11, 2016 - September 11, 2017
CRAFT CAPITAL MANAGEMENT LLC
December 9, 2015 - May 5, 2016
SW FINANCIAL
May 6, 2015 - December 9, 2015
NETWORK 1 FINANCIAL SECURITIES INC.
November 28, 2012 - May 15, 2015
LAIDLAW & COMPANY (UK) LTD.
January 20, 2009 - December 7, 2012
OBSIDIAN FINANCIAL GROUP, LLC
November 11, 2008 - January 23, 2009
AURA FINANCIAL SERVICES, INC.
April 4, 2008 - November 7, 2008
ROCKWELL GLOBAL CAPITAL LLC
April 2, 2007 - May 13, 2008
BROOKVILLE CAPITAL PARTNERS
February 9, 2006 - March 21, 2007
EMPIRE FINANCIAL GROUP, INC.
June 8, 2004 - August 16, 2005
GUNNALLEN FINANCIAL, INC
September 23, 2002 - November 15, 2002
S.W. BACH & COMPANY
April 18, 2002 - October 30, 2002
GIT SECURITIES CORPORATION
April 27, 2001 - April 19, 2002
HARRISON SECURITIES, INC.
September 22, 1999 - May 7, 2001
WEATHERLY SECURITIES CORPORATION
May 19, 1998 - October 19, 1999
TASIN & COMPANY, INC.
January 21, 1998 - May 21, 1998
CELADON FINANCIAL GROUP LLC
June 3, 1997 - January 9, 1998
FAIRCHILD FINANCIAL GROUP, 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
RICHARD JAMES & ASSOCIATES, INC.
CRD#: 169131 / SEC#: , 8-69352
Contact information
FINRA licenses (36 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.
