Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kurt? Claim Your ProfileKurt Oswald is a financial advisor with over 22 years of experience in the financial services industry. Kurt currently works for LPL Financial LLC and is registered with the state of California. Before joining LPL, Kurt worked for Lincoln Financial Advisors Corporation and WFG Investments, Inc. Kurt holds several industry licenses, including the Series 7, Series 31, and Series 66. He is also a registered Investment Advisor Representative in California. Kurt's areas of expertise include investment planning, retirement planning, and insurance planning.
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.
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2
AZ
08/21/2023 - Present
LPL Financial LLC (PEORIA AZ)
AZ
05/01/2015 - 08/22/2023
LINCOLN FINANCIAL ADVISORS CORPORATION (GLENDALE AZ)
AZ
04/22/2009 - 05/01/2015
WFG INVESTMENTS, INC. (PEORIA AZ)
AZ
08/12/2006 - 05/13/2009
UBS FINANCIAL SERVICES INC. (PHOENIX AZ)
AZ
08/18/2005 - 08/12/2006
PIPER JAFFRAY & CO. (SURPRISE AZ)
NY
03/26/2001 - 08/29/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 05/18/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/23/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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