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James Kyle Ofgant

National Financial Services LLC

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About James Kyle Ofgant

James Kyle Ofgant is a financial professional with over 28 years of experience in the industry. James has held a variety of roles at different firms including Fidelity Brokerage Services LLC and National Financial Services LLC. Currently, James is registered with National Financial Services LLC as a Registered Representative in Smithfield, Rhode Island. James holds a Series 7, Series 10, Series 9, Series 63, Series 66 and SIE licenses.

Firm Information

James Ofgant is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Ofgant’s Registration & Firm History

RI

11/09/2015 - Present

National Financial Services LLC (SMITHFIELD RI)

MA

05/22/1998 - 09/09/2015

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

MA

01/14/1997 - 10/08/2001

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

RI

02/05/1996 - 12/31/1996

FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)

MO

07/27/1994 - 11/11/1994

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

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Licenses & Designations

BOTH

Issued 12/11/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 08/10/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/16/2011

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/23/2010

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/24/2002

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Kyle Ofgant.
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