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Timothy John Oswald

Piper Sandler & Co.

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About Timothy John Oswald

Timothy John Oswald is a registered representative with Piper Sandler & Co. Oswald has been in the industry since November 20, 1989 and is based in Des Moines, Iowa. Oswald holds the following licenses: Series 7, Series 50, Series 52TO, Series 53, Series 54, and Series 63. The firm's office is located at 3900 Ingersoll Avenue, Suite 110, Des Moines, Iowa. Oswald's firm offers analytical reports/public finance consulting programs. The firm also provides portfolio management for businesses.

Firm Information

Timothy Oswald is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Timothy Oswald’s Registration & Firm History

IA

11/21/1989 - Present

Piper Sandler & Co. (DES MOINES IA)

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Licenses & Designations

BC

Issued 11/20/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/17/2019

Series 54 - Municipal Advisor Principal Qualification Examination

BC

Issued 01/05/2007

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/2016

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 11/18/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Timothy John Oswald.
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