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Prescott, AZ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-10-23 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Tucson | AZ | 03/2016 | 09/2016 |
| Lpl Financial, Llc | Phoenix | AZ | 09/2016 | 04/2017 |
| Oneaz Credit Union | Phoenix | AZ | 10/2016 | 03/2017 |
| Fiwheels Llc | Oro Valley | AZ | 09/2024 | Present |
| Self Employed | Oro Valley | AZ | 05/2017 | 09/2024 |
09/20/2016 - Present Mr. Oswalt is an insurance agent for commission-free, fixed insurance products in the State of Arizona. Mr. Oswalt devotes about 5 hours per month to this activity, while 0 hours of this time is during securities trading hours. Investment-related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-08-13 |
| S65 | Uniform Investment Adviser Law Examination | 2005-08-16 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-13 |
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