Richard B. Ofstie
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.
Richard Boyd Ofstie was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 31, Series 7 and Series 24 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 - April 27, 2016
MSI FINANCIAL SERVICES, INC.
February 27, 2012 - April 27, 2016
MSI FINANCIAL SERVICES, INC.
October 11, 2005 - March 2, 2012
NYLIFE SECURITIES LLC
January 1, 2004 - May 31, 2005
NEWOAK CAPITAL MARKETS LLC
October 9, 2002 - November 14, 2002
LADENBURG THALMANN & CO. INC.
May 31, 2002 - October 11, 2002
SOURCE CAPITAL GROUP, INC.
August 17, 2000 - March 14, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
May 17, 1999 - December 5, 2000
AUERBACH, POLLAK & RICHARDSON INC.
March 26, 1996 - January 7, 1999
NATIXIS SECURITIES AMERICAS LLC
July 17, 1995 - February 14, 1996
VALUE INVESTING PARTNERS, INC.
June 24, 1992 - June 1, 1994
MORGAN STANLEY DW 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
Series 55
Date: 8/10/2004
Limited Representative-Equity Trader ExamCurrent Firm
MSI FINANCIAL SERVICES, INC.
CRD#: 14251 / SEC#: 801-22306, 8-30447
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | DIRECT OWNER | |
| BENSON, WENDY ANN | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 2140720 |
| CHICARES, ELIZABETH WARD | DIRECTOR | 2194754 |
| FANNING, MICHAEL ROBERT | DIRECTOR | 1620072 |
| FRANCELLA, AMY | SECRETARY AND CHIEF LEGAL OFFICER | 1881552 |
| FREDERICK, CHRISTINE SPENCER | CHIEF COMPLIANCE OFFICER | 2641636 |
| HOLTZER, DAVID MICHAEL | PRESIDENT | 4345697 |
Disclosures
| Regulatory Event | 41 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
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.
