Larae A. Duff

OFG FINANCIAL SERVICES

Salina, KS 67401

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CRD#: 6993593

Professional summary

Larae Ann Duff, who also goes by Larae A Baker, Larae A Duff, Rae A Duff, is a registered financial advisor currently at OFG FINANCIAL SERVICES, INC. located in Salina, Kansas.

Larae is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Larae has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Larae A Baker | Larae A Duff | Rae A Duff

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) - RIA

Click below to view Larae Ann Duff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Larae Ann Duff'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

August 18, 2025 - Present

OFG FINANCIAL SERVICES, INC.

Office #1: 120 S. Santa Fe, Salina, KS 67401

RIA

CRD#: 23940

Salina, KS

Current

August 19, 2025 - Present

OFG FINANCIAL SERVICES, INC.

Office #1: 120 S. Santa Fe, Salina, KS 67401

RIA

CRD#: 23940

Salina, KS

Past

September 19, 2023 - February 11, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MCKINNEY, TX

Past

September 19, 2023 - February 11, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

MCKINNEY, TX

Past

May 2, 2023 - May 9, 2023

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

SOUTHLAKE, TX

Past

May 2, 2023 - May 9, 2023

SANCTUARY SECURITIES, INC.

CRD#: 205

SOUTHLAKE, TX

Past

April 5, 2023 - April 11, 2023

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

DALLAS, TX

Past

April 5, 2023 - April 11, 2023

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

DALLAS, TX

Past

August 19, 2021 - May 25, 2022

EDWARD JONES

RIA

CRD#: 250

KECHI, KS

Past

August 19, 2021 - May 25, 2022

EDWARD JONES

CRD#: 250

KECHI, KS

Past

March 29, 2021 - June 16, 2021

EDWARD JONES

CRD#: 250

ARGYLE, TX

Past

March 26, 2021 - June 16, 2021

EDWARD JONES

RIA

CRD#: 250

ARGYLE, TX

Past

October 12, 2018 - August 20, 2019

EDWARD JONES

RIA

CRD#: 250

KELLER, TX

Past

September 20, 2018 - August 20, 2019

EDWARD JONES

CRD#: 250

KELLER, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OFG FINANCIAL SERVICES, INC.

CRD#: 23940 / SEC#: 801-127727, 8-40770

RIA

Registered Investment Advisory firm - SEC (4/24/2023 Approved)

Arizona

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Missouri

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (1/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Kansas
(8/18/2025)

Kansas
(8/19/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OFG FINANCIAL SERVICES, INC.

CRD#: 23940 / SEC#: 801-127727, 8-40770

RIA

Registered Investment Advisory firm - SEC (4/24/2023 Approved)

Arizona

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Missouri

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (1/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/8/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

Townsite Plaza #2, Suite # 105 Townsite Plaza #2, Suite 105, Topeka, KS 66603-3515

Mailing Address

Townsite Plaza #2, Suite # 105 120 Se 6th Avenue, Topeka, KS 66603-3515

Phone number

(785) 233-4071

Established

Kansas since 12/12/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (5 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OFG FORM ADV PART II (7/29/2025)

Direct owners and executive officers

Name	Position	CRD#
OGDON, JAMES KENNETH	PRESIDENT & DIRECTOR	351370
MCMASTER, TYLER JOHN	SENIOR VICE PRESIDENT	2368175
PAYNE, TODD MATTHEW	SECRETARY-TREASURER, DIRECTOR & CCO	5513536

Regulatory assets under management

Total Number of Accounts	850
AUM (Assets Under Management)	$ 270,000,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Larae A. Duff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larae Ann Duff's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Larae Ann Duff's CRS (Customer Relationship Summary).

Certified licenses

Experience

OFG FINANCIAL SERVICES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

SANCTUARY ADVISORS, LLC

SANCTUARY SECURITIES, INC.

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

OFG FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2018

FINRA

Current Firm

OFG FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OFG FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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