Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Oswald is a financial advisor with Commonwealth Financial Network. William has been working in the financial services industry since 1998. William is registered in 20 states as a broker-dealer and has been licensed to sell insurance. William holds multiple industry licenses, including Series 7, 9, 10, 31, 63, and 65.
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.
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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WI
09/25/2009 - Present
Commonwealth Financial Network (WATERTOWN WI)
WI
06/01/2009 - 09/28/2009
MORGAN STANLEY SMITH BARNEY (WAUWATOSA WI)
WI
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WAUWATOSA WI)
WI
02/26/1998 - 04/02/2007
MORGAN STANLEY DW INC. (WAUWATOSA WI)
IA
Issued 03/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/13/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/13/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 02/24/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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