Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Richard Oswald is a financial advisor with over 20 years of experience in the financial services industry. Brian is currently registered with Raymond James Financial Services Advisors, Inc., and has been associated with the firm since 2016. Brian specializes in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and retirement plans. Brian's expertise also includes non-variable insurance. Brian is licensed to conduct business in various states, including Michigan, Alabama, California, Colorado, Florida, Illinois, Indiana, Kansas, Kentucky, Montana, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia, Wisconsin and Wyoming. Brian holds various industry licenses and certifications, including Series 7, Series 9, Series 10, Series 63, Series 65 and SIE.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
MI
07/25/2016 - Present
Raymond James Financial Services Advisors, Inc. (STURGIS MI)
MI
10/01/2007 - 07/19/2016
LPL FINANCIAL LLC (STURGIS MI)
VA
02/07/2002 - 09/20/2007
PROEQUITIES, INC. (HARRISONBURG VA)
IA
Issued 09/24/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/15/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Brian Oswald is the right advisor for you? Invested Better is here to help.
