Brian Richard Oswald

Current Employers

Employment History

• 07/2016 → Present
  Raymond James Financial Services, Inc.
  Sturgis, MI
• 08/2019 → 08/2019
  Sturgis Bank & Trust Co
  Sturgis, MI
• 07/2016 → Present
  Raymond James Financial Services Advisors Inc.
  Sturgis, MI
• 01/2018 → 08/2019
  Oakleaf Financial
  Sturgis, MI
• 03/2018 → Present
  Oakleaf Financial Services
  Sturgis, MI
• 08/2019 → Present
  Sturgis Bank & Trust
  Sturgis, MI

Previous Registrations

• 2007-10-01 → 2016-07-19
  Lpl Financial Llc
  White Pigeon, MI
  Colon, MI
  Three Rivers, MI
  Sturgis, MI
  Coldwater, MI
  South Haven, MI
  Sturgis, MI
  Bronson, MI
  Centreville, MI
  Climax, MI
  South Haven, MI
  Sturgis, MI
  Sturgis, MI
  Fort Mill, SC
• 2004-03-22 → 2007-09-20
  Concourse Financial Group Securities, Inc.
  Harrisonburg, VA
  Harrisonburg, VA

Other Businesses

(1) Name of Business: Address: 125 E. Chicago Road, Sturgis, MI, 49091, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 03/31/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The bank we're associated with recently acquired an insurance practice and we would like to be able to write fixed products through that agency. (2) Name of Business: Address: 125 E Chicago Rd, Sturgis, MI, 49091-1754, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 06/06/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Write non-variable insurance (3) Name of Business: Address: 29235 Marsh Road, Centreville, MI, 49032, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 08/31/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I have a friend that is an electrician and we're planning to purchase a duplex together as a rental. (4) Name of Business: Locust Grove Church Address: 29525 Findley Rd, Burr Oak, MI, 49030, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 04/30/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I've been asked to serve on the finance committee for my church. (5) Name of Business: Oakleaf Financial Services Address: 125 E Chicago Rd, Sturgis, MI, 49091, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Director Investment Related: Yes Start Date: 02/28/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Director of Oakleaf Financial Services, the business under which we do RJFS business, also Vice President of Oakleaf (6) Name of Business: Oakleaf Financial Services Address: 125 E Chicago Rd, Sturgis, MI, 49091, United States Activity Type: Support Company - Non Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 08/04/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Vice President of Oakleaf Financial Services, FA

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-09-24
• S63 Uniform Securities Agent State Law Examination
  2002-02-07