Joshua Timothy 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

• 01/2016 → Present
  Sii Investments, Inc
  Coralville, IA
• 02/2018 → Present
  Lpl Financial Llc
  Coralville, IA

Previous Registrations

• 2016-01-22 → 2018-02-14
  Sii Investments, Inc.
  Coralville, IA
• 2008-06-24 → 2016-01-26
  Northwestern Mutual Investment Services, Llc
  Iowa City, IA
  Coralville, IA

Other Businesses

1. 02/14/2018 - HJR Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

• S66 Uniform Combined State Law Examination
  2016-04-15
• S63 Uniform Securities Agent State Law Examination
  2002-03-29

Designations

• Chartered Financial Consultant