Mark Michael Oswald

Current Employers

Balefire, Llc

14221 Dallas Parkway Suite 100, Dallas, TX 75254 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-04-24
MN	RA	APPROVED	2024-01-12

TX RA
APPROVED_RES

Since 2025-04-24
MN RA
APPROVED

Since 2024-01-12

Branch Locations

Cape Coral, FL • United States

14221 Dallas Parkway Suite 100, Dallas, TX 75254 • 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

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

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

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

S65 Uniform Investment Adviser Law Examination

1998-04-22
S63 Uniform Securities Agent State Law Examination

1990-01-26

View on SEC IAPD