Mark Michael Oswald

Employer firm

Balefire, LLC CRD 168733

$1.99B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 06/2003 → 03/2021
  Annex Wealth Management
  Brookfield, WI
• 07/2003 → 03/2021
  Annex Advisory Services, Llc.
  Brookfield, WI
• 07/2003 → 03/2021
  Annex Insurance Services, Llc
  Brookfield, WI
• 12/2009 → 04/2019
  H. Beck, Inc.
  Rockville, MD
• 01/2016 → Present
  Ozzie's Pitch-22 Foundation
  Cape Coral, FL
• 06/2003 → Present
  Compliance Consultants, Llc
  Cape Coral, FL
• 02/2021 → 11/2021
  Aegis Financial
  Oshkosh, WI
• 02/2022 → 11/2023
  Bridge Capital Associates, Inc.
  Norcross, GA
• 02/2022 → 12/2023
  B/D Compliance Associates, Inc.
  Norcross, GA

Previous Registrations

• 2021-03-25 → 2021-11-16
  Aegis Financial
  Oshkosh, WI
• 2009-08-31 → 2020-10-15
  Annex Wealth Management, Llc
  Brookfield, WI

Other Businesses

Compliance Consultants LLC. 4126 SE 1st Place, Cape Coral, FL. Description of the business: Provide expert witness testimony and support in FINRA and civil disputes. Provide consulting services to BDs and RIAs. Started 06/2003. Not investment related. 2 hrs/mo, none during business hours. Sole Member of the LLC. Ozzie's Pitch-22 Foundation. 4126 SE 1st Place, Cape Coral, FL. Charitable Foundation that provides scholarships. Started 2/2016. Not investment related. Board Member. Administer the Foundation, raise contributions, manage funds for growth. 1 hr/mo, none during business hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-04-22
• S63 Uniform Securities Agent State Law Examination
  1990-01-26