Kurt W. Lofgren

J.W. COLE FINANCIAL

TAMPA, FL 33634

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CRD#: 3048472

Professional summary

Kurt Walker Lofgren is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Tampa, Florida.

Kurt is registered as a RR (Registered Representative) and started their career in finance in 2004. Kurt has worked at 8 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Kurt Walker Lofgren's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 24, 2020 - Present

J.W. COLE FINANCIAL, INC.

Office #1: 4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

CRD#: 124583

TAMPA, FL

Past

March 28, 2017 - October 3, 2019

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

October 3, 2012 - March 11, 2016

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

October 3, 2012 - March 11, 2016

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

MINNEAPOLIS, MN

Past

September 29, 2005 - March 11, 2016

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506

MINNEAPOLIS, MN

Past

June 8, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 8, 2005 - March 11, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minneapolis, MN

Past

April 6, 2004 - April 12, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(6/24/2020)

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/2/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634

Phone number

(813) 935-6776

Established

Florida since 10/14/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JWC WEALTH PARTNERS	OWNER
FUSSA OCASIO, FERNANDO	CFO/FINOP	2471569
LOFGREN, KURT WALKER	CHIEF COMPLIANCE OFFICER	3048472
PACK, TODD JAMES	CHIEF OPERATING OFFICER	2795590
WEST, EUGENE	DESIGNATED MUNICIPAL PRINCIPAL/ROSFP	2059974
WOOD, ROBERT JULIAN	TREASURER/SECRETARY/GP/CEO	3217809

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

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Firm Stability Insights

Kurt W. Lofgren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kurt Walker Lofgren's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

RIVERSOURCE DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 4/5/2004

Series 24

Date: 8/2/2004

FINRA

Current Firm

J.W. COLE FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.W. COLE FINANCIAL, INC.

TRUST BUT VERIFY

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