Ofg Financial Services, Inc.
- Regulatory AUM
- $271M
- Discretionary
- $0
- Clients
- 855
- Avg AUM / client
- $317K
- Accounts
- 850
- Employees
- 30
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 26, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 850 | $210M | 77.5% |
| Corporations and other businesses | 5 | $61.0M | 22.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Flinthills Trading Company D/B/A Huyett 401(k) Profit Sharing Plan And Trust Flinthills Trading Company D/B/A Huyett | 2024 |
People (29)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ogdon, James Kenneth | President & Director | Oct 1991 (35y) | 75% or more | |
| Todd Matthew Payne | Secretary Treasurer, Director & Cco | Aug 2008 (18y) | Less than 5% | |
| Tyler John Mcmaster | Senior Vice President | Oct 2016 (10y) | Less than 5% | |
| Douglas Keith Crum | Registered representative | Mar 2000 (26y) | ||
| Steven Craig Colson | Registered representative | Chartered Financial Consultant | Feb 2003 (23y) | |
| Lawrence Kyle Ruzicka | Registered representative | Mar 2006 (20y) | ||
| Lorin Dale Kieschnick | Registered representative | Mar 2008 (18y) | ||
| Jesse Newton Burditt | Registered representative | May 2008 (18y) | ||
| Leasa Elenora Huffman | Registered representative | Chartered Financial Consultant | Jan 2009 (18y) | |
| Charles Hal Kooken | Registered representative | Mar 2009 (17y) | ||
| Kevin Kord Webb | Registered representative | Apr 2009 (17y) | ||
| Katherine Cassidy Mcmaster | Registered representative | Jun 2009 (17y) | ||
| Richard Dale Higgs | Registered representative | Feb 2010 (17y) | ||
| Craig Alan Colson | Registered representative | Feb 2013 (14y) | ||
| Benjamin Scott Schroeder | Registered representative | Jun 2016 (10y) | ||
| James Dale Sather | Registered representative | Jun 2016 (10y) | ||
| Robert Kenneth Tersinar | Registered representative | Jun 2016 (10y) | ||
| Scott Jackson Marwil | Registered representative | Jan 2018 (9y) | ||
| Dean Alan Willeford | Registered representative | May 2019 (7y) | ||
| Jonathan Bernard Gatz | Registered representative | Aug 2019 (7y) | ||
| John David Phinney | Registered representative | Aug 2023 (3y) | ||
| Jake Albert Lebahn | Registered representative | Jan 2024 (3y) | ||
| Douglas Brent Massey | Registered representative | Chartered Financial Consultant | Aug 2024 (2y) | |
| Weston Ray Woodring | Registered representative | Oct 2024 (2y) | ||
| Chris Winston Davenport | Registered representative | Feb 2025 (2y) | ||
| Larry Lynn Davenport | Registered representative | Feb 2025 (1y) | ||
| Mason James Knopp | Registered representative | Mar 2025 (1y) | ||
| Mitchell J Quick | Registered representative | Jul 2025 (1y) | ||
| Matthew Robert Campbell | Registered representative | Oct 2025 (1y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Flinthills Trading Company D/B/A Huyett 401(k) Profit Sharing Plan And Trust | Flinthills Trading Company D/B/A Huyett | 235 | $10.1M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/26/2026 | 1.11 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: IN A FINRA EXAMINATION ORIGINATING FROM OFG'S BROKER-DEALER'S SELF-REPORT TO FINRA REGARDING A REGISTERED REPRESENTATIVE FAILING TO DISCLOSE OUTSIDE BUSINESS ACTIVITIES AND LOANS OBTAINED FROM FIRM CUSTOMERS, FINRA MADE A DETERMINATION THAT OFG'S BROKER-DEALER'S E-MAIL SUPERVISORY PROCEDURES WERE INSUFFICIENT AND IN VIOLATION OF FINRA RULES 3110 AND 2010 FOR THE TIME PERIOD NOVEMBER 2017 THROUGH NOVEMBER 2022. THE INSUFFICIENCIES WERE RELATED TO FIRM PROCEDURES NOT IDENTIFYING RESPONSIBLE INDIVIDUALS FOR E-MAIL REVIEWS, HOW FREQUENTLY THE REVIEWS WERE TO OCCUR, INFORMATION ON SAMPLE SIZES OF REVIEWS, KEYWORDS UTILIZED IN REVIEWS, AND PARAMETERS FOR RANDOM SAMPLING. FINRA ALSO DETERMINED THE KEYWORDS UTILIZED WERE INSUFFICIENT FOR THE FIRM AND THE NUMBER OF ACTUAL E-MAILS REVIEWED WAS NOT ENOUGH. THE SITUATION HAS BEEN REMEDIED BY OFG'S BROKER-DEALER TO INCLUDE ENHANCED SUPERVISORY PROCEDURES REGARDING E-MAIL, MORE RELEVANT KEYWORDS UTILIZED, AND A MORE SUFFICIENT AMOUNT OF E-MAILS REVIEWED. Status: Final Sanction Detail: CENSURE/FINE Summary: IN A FINRA EXAMINATION ORIGINATING FROM OFG'S BROKER-DEALER'S SELF-REPORT TO FINRA REGARDING A REGISTERED REPRESENTATIVE FAILING TO DISCLOSE OUTSIDE BUSINESS ACTIVITIES AND LOANS OBTAINED FROM FIRM CUSTOMERS, FINRA MADE A DETERMINATION THAT OFG'S BROKER-DEALER'S E-MAIL SUPERVISORY PROCEDURES WERE INSUFFICIENT AND IN VIOLATION OF FINRA RULES 3110 AND 2010 FOR THE TIME PERIOD NOVEMBER 2017 THROUGH NOVEMBER 2022. THE INSUFFICIENCIES WERE RELATED TO FIRM PROCEDURES NOT IDENTIFYING RESPONSIBLE INDIVIDUALS FOR E-MAIL REVIEWS, HOW FREQUENTLY THE REVIEWS WERE TO OCCUR, INFORMATION ON SAMPLE SIZES OF REVIEWS, KEYWORDS UTILIZED IN REVIEWS, AND PARAMETERS FOR RANDOM SAMPLING. FINRA ALSO DETERMINED THE KEYWORDS UTILIZED WERE INSUFFICIENT FOR THE FIRM AND THE NUMBER OF ACTUAL E-MAILS REVIEWED WAS NOT ENOUGH. THE SITUATION HAS BEEN REMEDIED BY OFG'S BROKER-DEALER TO INCLUDE ENHANCED SUPERVISORY PROCEDURES REGARDING E-MAIL, MORE RELEVANT KEYWORDS UTILIZED, AND A MORE SUFFICIENT AMOUNT OF E-MAILS REVIEWED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • TIMING SERVICES PROVIDED BY OTHERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 26, 2026.
View current Form ADV (SEC/IAPD) ↗