Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Owen Oswald is a financial advisor with over 25 years of experience in the industry. Patrick currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. Patrick has held previous roles at several firms including W.R. Hambrecht + Co., LLC, Wedbush Securities Inc., Sharespost Financial Corporation, Wedge Securities, LLC, Thinkequity LLC, Morgan Stanley Smith Barney, Lighthouse Financial Group, LLC, Multitrade Securities LLC, Leerink Swann LLC, Screaming Eagle Trading, Inc., Merriman Curhan Ford & Co., JMP Securities LLC, Banc of America Securities LLC, BancBoston Robertson Stephens Inc., and Montgomery Securities. Patrick is registered to provide investment advice in 11 states. Patrick is Series 63, 66, 7, 24, 31 and SIE licensed. Patrick's areas of specialization include Fixed Income, Equity, Mutual Funds, Annuities, and Options.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
01/27/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OAKLAND CA)
CA
05/20/2014 - 08/24/2015
W.R. HAMBRECHT + CO., LLC (SAN FRANCISCO CA)
CA
11/07/2013 - 05/22/2014
WEDBUSH SECURITIES INC. (SAN FRANCISCO CA)
CA
08/21/2012 - 09/11/2013
SHARESPOST FINANCIAL CORPORATION (SAN FRANCISCO CA)
CA
10/17/2011 - 04/27/2012
WEDGE SECURITIES, LLC (WALNUT CREEK CA)
CA
01/26/2011 - 09/19/2011
THINKEQUITY LLC (SAN FRANCISCO CA)
CA
09/30/2009 - 02/03/2011
MORGAN STANLEY SMITH BARNEY (OAKLAND CA)
CA
05/13/2009 - 10/27/2009
LIGHTHOUSE FINANCIAL GROUP, LLC (WALNUT CREEK CA)
NY
05/01/2009 - 10/07/2009
MULTITRADE SECURITIES LLC (NEW YORK NY)
CA
04/01/2009 - 04/21/2009
LEERINK SWANN LLC (SAN FRANCISCO CA)
CA
08/08/2008 - 01/30/2009
SCREAMING EAGLE TRADING, INC. (ORINDA CA)
NY
06/07/2007 - 08/06/2008
MERRIMAN CURHAN FORD & CO. (NEW YORK NY)
CA
08/26/2004 - 05/31/2007
SCREAMING EAGLE TRADING, INC. (ORINDA CA)
CA
06/24/2002 - 08/24/2004
JMP SECURITIES LLC (SAN FRANCISCO CA)
NY
08/17/1999 - 04/15/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
07/07/1999 - 08/17/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
NY
10/01/1997 - 07/08/1999
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
09/30/1992 - 10/01/1997
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
BOTH
Issued 01/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/27/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/28/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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