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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Oswalt is a registered Investment Advisor Representative with RBC Capital Markets, LLC in Minneapolis, MN. Louis has been in the industry since 1997 and is licensed in California, Minnesota, and Texas. Louis holds the Series 63, 65, 7, and SIE securities licenses. Louis is also a registered Investment Advisor Representative with RBC Capital Markets, LLC in New Hope, MN. Louis Oswalt is a Registered Representative and Investment Advisor Representative with RBC Capital Markets, LLC in Minneapolis, MN.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
11/19/2013 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
09/24/1997 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
IA
Issued 06/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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