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David Jon Oswald

KEY Investment Services LLC

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About David Jon Oswald

David Oswald is a financial professional with over 25 years of experience in the industry. He has held several positions at well-known firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Prudential Insurance Company of America. David is currently registered with Key Investment Services LLC as a representative. His areas of expertise include providing financial planning and portfolio management services to individuals and institutions. David is committed to helping clients achieve their financial goals.

Firm Information

David Oswald is currently registered with KEY Investment Services LLC. KEY Investment Services LLC is an investment advisor registered with the SEC and in 51 states. Established in 2005, the firm provides portfolio management for individuals and other clients, including high-net-worth individuals, charitable organizations, pension plans, and corporations. KEY Investment Services LLC manages assets between $1 billion and $10 billion and offers wrap fee programs. The firm's primary office is located in Brooklyn, OH.
KEY Investment Services LLC

4900 TIEDEMAN ROAD

BROOKLYN, OH 44144

$4.19B

Assets Under Management

Not reported

Total Clients

1,040

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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David Oswald’s Registration & Firm History

OH

02/18/2009 - Present

KEY Investment Services LLC (TOLEDO OH)

OR

12/11/1996 - 12/04/1997

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

IA

07/28/1995 - 11/25/1996

LOCUST STREET SECURITIES, INC. (DES MOINES IA)

NY

11/09/1993 - 06/26/1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

09/20/1989 - 09/07/1993

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NJ

09/20/1989 - 09/07/1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

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Licenses & Designations

BC

Issued 06/17/2009

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/29/1993

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/17/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 11/08/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Jon Oswald.
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