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JO

James E. Ouderkirk

GLASFUNDS SECURITIES
CLEVELAND, OH 44114
Some features on this profile are disabled
CRD#: 6705992
JO

Professional summary

James Ervin Ouderkirk, who also goes by James Ouderkirk, is a registered financial professional currently at GLASFUNDS SECURITIES, LLC located in Cleveland, Ohio.

James is registered as a RR (Registered Representative) and started their career in finance in 2016. James has worked at 4 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Ouderkirk

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 James Ervin Ouderkirk's 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

January 6, 2026 - Present

GLASFUNDS SECURITIES, LLC

Office #1: 600 Superior Ave. East, Suite 1510, Cleveland, OH 44114
BD
CRD#: 330074
CLEVELAND, OH
Past

January 6, 2024 - August 6, 2024

INVERNESS SECURITIES, LLC

BD
CRD#: 129914
CLEVELAND, OH
Past

January 4, 2022 - October 23, 2023

CERTUITY, LLC

RIA
CRD#: 129505
Cincinnati, OH
Past

September 19, 2016 - November 7, 2019

BMO FAMILY OFFICE, LLC

RIA
CRD#: 110264
Chicago, IL

State Registrations and Notice Filings

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

RR
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

RR
New York
(2/9/2026)
RR
Ohio
(1/13/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/6/2026
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/25/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/6/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/6/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GLASFUNDS SECURITIES, LLC
GLASFUNDS SECURITIES, LLC

CRD#: 330074 / SEC#: , 8-71237

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
600 Superior Ave. East Suite 1510, Cleveland, OH 44114
Mailing Address
600 Superior Ave. East Suite 1510, Cleveland, OH 44114
Phone number
(216) 862-1300
Established
Delaware since 11/16/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GLASFUNDS HOLDINGS, LLCSOLE SHAREHOLDER
MARLIN, ROSS EVANCHIEF COMPLIANCE OFFICER6931826
OUDERKIRK, JAMES ERVINPRESIDENT6705992
ROCHE, PASCALFINOP, PFO, POO5920968

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.

Company Information

GLASFUNDS SECURITIES, LLC

CRD#: 330074Cleveland, OH 44114

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