Kurt (Nmi) Oswald

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 08/2023
  Lincoln Financial Advisors
  Glendale, AZ
• 08/2023 → Present
  Lpl Financial Llc
  Glendale, AZ

Previous Registrations

• 2015-06-10 → 2023-08-22
  Osaic Fa, Inc.
  Glendale, AZ
  Fort Wayne, IN
  Glendale, AZ
• 2009-05-20 → 2015-05-01
  Wfg Advisors, Lp
  Peoria, AZ

Other Businesses

1) 06/28/2023 - Validus Financial Associates PLLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 120 Hours per month. 2) 06/28/2023 - Celerion - Medical Research Testing - paid participant - AZ 85305 - Non investment related - 1 Hour per month - Start date: 01/01/2018. 3) 06/28/2023 - OSWALD FINANCIAL, LLC - Business Entity For Tax/Investment Purposes Only - owner - AZ 85303 - Non investment related - 120 Hours per month - Start date: 09/14/2012. 4) 06/28/2023 - Kurt Oswald Agent - Non-Variable Insurance Trails Only - AZ 85382 - 1 Hour per month - Start date: 6/4/2015.

Exams

• S66 Uniform Combined State Law Examination
  2009-05-18

Other Names

• Kurt Oswald
• Kurt Oswald
• Kurt (Nmi) Oswald