James R. Lofgren
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.
James Richard Lofgren, who also goes by Jim Lofgren, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 12 firms and has passed the Series 65, Series 63, SIE, PC, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2015 - October 6, 2016
AVELLINO FINANCIAL ADVISORS, INC.
April 1, 2015 - October 6, 2016
FOREST SECURITIES,INC.
March 24, 2011 - March 31, 2015
B. RILEY WEALTH MANAGEMENT
March 24, 2011 - March 31, 2015
B. RILEY WEALTH MANAGEMENT
October 1, 2004 - June 2, 2011
HOWE BARNES CAPITAL MANAGEMENT, INC.
January 3, 2001 - March 31, 2011
HOWE BARNES HOEFER & ARNETT, INC.
January 2, 1997 - January 22, 2001
ABN AMRO INCORPORATED
February 24, 1988 - January 2, 1997
THE CHICAGO CORPORATION
January 25, 1984 - February 29, 1988
PRESCOTT, BALL & TURBEN, INC.
September 9, 1975 - April 20, 1983
BURTON J. VINCENT, CHESLEY & CO.
August 28, 1974 - October 25, 1975
WHITE, WELD & CO. INCORPORATED
April 24, 1974 - August 25, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
August 5, 1970 - June 3, 1974
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 4/13/1984
AMEX Put and Call ExamSeries 5
Date: 12/29/1982
Interest Rate Options ExaminationSeries 1
Date: 9/11/1963
Registered Representative ExaminationCurrent Firm
AVELLINO FINANCIAL ADVISORS, INC.
CRD#: 164805 / SEC#: 801-107924
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
