Thomas Joseph Oswald

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 01/1993 → 03/2020
  Ameriprise Financial Services, Inc.
  Troy, MI
• 03/2020 → Present
  Ameriprise Financial Services, Llc
  Troy, MI

Other Businesses

Other Business Activities; Greenspring Leasing LLC; Leasing Office Space for Ameriprise Financial Franchise Practice AFG; 700 Tower Drive Suite 200 Troy, MI 48098, ,; ; 04/08/2014; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-03-24

Designations

• Certified Financial Planner