Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Oswaldo? Claim Your ProfileOswaldo Chavez is a financial advisor with over 30 years of experience in the industry. Oswaldo is currently registered with Fidelity Brokerage Services LLC and has been with the firm since 2004. Previously, Oswaldo was registered with TD Waterhouse Investor Services, Inc., MML Investors Services, Inc., G. R. Phelps & Co., Inc., and Securities America, Inc.. Oswaldo is licensed to sell securities in all 50 states and the District of Columbia. Oswaldo holds the Series 7, 8, 9, 10, 63, and 66 licenses, as well as the SIE exam.
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.
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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2
RI
06/18/2004 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
NE
01/30/1998 - 07/28/2003
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MA
03/01/1996 - 12/31/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
01/08/1993 - 03/01/1996
G. R. PHELPS & CO., INC.
NE
12/18/1992 - 01/13/1993
SECURITIES AMERICA, INC. (LAVISTA NE)
BOTH
Issued 11/16/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/13/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/03/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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