Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Oswald is a financial advisor at LPL Financial LLC. Joshua has been in the financial industry since 2002 and has experience with Northwestern Mutual Investment Services, LLC, and SII Investments, Inc. Joshua is registered with the state of California, Iowa, Minnesota, Texas, and is a Series 6, 7, 63 and 66 licensed professional. Joshua provides financial planning, portfolio management for businesses and individuals, and other non-discretionary advisory services. Joshua is also a Chartered Financial Consultant.
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.
Consulting and other non-discretionary advisory services
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.
1
2
IA
01/21/2022 - Present
LPL Financial LLC (CORALVILLE IA)
IA
01/22/2016 - 02/14/2018
SII INVESTMENTS, INC. (CORALVILLE IA)
IA
03/11/2002 - 01/26/2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CORALVILLE IA)
BOTH
Issued 04/15/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/29/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/09/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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