Edwin I. Ofgant
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.
Edwin Irwin Ofgant JR, who also goes by Ed Ofgant, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1970. Edwin had worked at 8 firms and has passed the Series 63, SIE 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
September 8, 2014 - January 4, 2016
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
January 17, 2012 - September 3, 2014
INVESTORS CAPITAL CORP.
January 17, 2012 - September 3, 2014
INVESTORS CAPITAL CORP.
December 16, 2004 - December 31, 2011
INVESTORS CAPITAL CORP.
December 15, 2004 - December 31, 2011
INVESTORS CAPITAL CORP.
June 17, 2002 - January 6, 2005
SIGNATOR INVESTORS, INC.
June 12, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 12, 1996 - April 26, 2002
SIGNATOR INVESTORS, INC.
February 14, 1995 - April 26, 1996
FSC SECURITIES CORPORATION
December 16, 1989 - December 31, 1994
LPL FINANCIAL LLC
January 10, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
September 13, 1971 - February 11, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 13, 1971 - February 11, 1989
SIGNATOR INVESTORS, INC.
June 26, 1970 - May 28, 1971
GUARDIAN INVESTOR SERVICES LLC
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
Series 1
Date: 3/11/1969
Registered Representative ExaminationCurrent Firm
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
