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Nicole T Oswalt

Financial Advisors Network, Inc.

Tustin, CA

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Current Employers
Financial Advisors Network, Inc.

1432 Edinger Avenue Suite 200, Tustin, CA 92780 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-10-02
  • CA RA
    APPROVED
    Since 2024-10-02

Branch Locations

1432 Edinger Avenue Suite 200, Tustin, CA 92780 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Weehawken CA 01/2019 05/2019
Chico State Calling Center Chico CA 09/2017 12/2018
Education Chico CA 09/2016 08/2017
Ubs Financial Services Inc. New York NY 10/2019 09/2024
Unemployed Hoboken NJ 06/2019 09/2019
Financial Advisors Network, Inc. Tustin CA 09/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-06
  • S66 Uniform Combined State Law Examination
    2019-08-06
Other Names
  • Nicole Taylor Kerstner
  • Nikki Oswalt
  • Nicole T Kerstner

View on SEC IAPD

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Other Offices

RMR CAPITAL MANAGEMENT LLC · TUSTIN, CA
CROSSPOINT FINANCIAL, LLC · TUSTIN, CA
EQUITABLE ADVISORS, LLC · TUSTIN, CA
KFICO, LLC REGISTERED INVESTMENT ADVISOR · TUSTIN, CA
CAPITAL SYNERGY PARTNERS · IRVINE, CA
LPL FINANCIAL LLC · IRVINE, CA
PARK AVENUE SECURITIES LLC · IRVINE, CA
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · Irvine, CA

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