Andrew Joseph Oswald

Employer firm

Modern Wealth Management, LLC CRD 324624

$10.9B regulatory AUM 5 advisory clients

Reported services (Item 5G)

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

• 05/2026 → Present
  Modern Wealth Management, Llc
  Clearwater, FL
• 10/2014 → 05/2026
  Lpl Financial Llc
  Clearwater, FL
• 10/2014 → Present
  Flaharty Asset Management, Llc
  Clearwater, FL
• 10/2014 → 05/2026
  Flaharty & Associates, Llc
  Clearwater, FL
• 06/2026 → Present
  Mutual Securities, Inc.
  Camarillo, CA

Previous Registrations

• 2019-01-28 → 2026-06-03
  Lpl Financial Llc
  Clearwater, FL
  Clearwater, FL
  St Petersburg, FL
• 2006-10-05 → 2014-10-23
  Ameriprise Financial Services, Llc
  Tampa, FL
  St Petersburg, FL

Other Businesses

1. Modern Wealth Management, Start Date: 06/01/2026, 311 Park Place Blvd., Ste. 150, Clearwater, FL 33704, LLC, Registered Investment Advisor, Executive Advisor, Financial Advisor, Investment Related, 160 Hours per month, 8 Hours per day during trading hours. 2. Polywog Charities, Inc., Start Date: 11/01/2025, 540 Trinity Ln, Ste. 2205, St. Petersburg, FL 33716, 501 c 3, Charity non profit organization, Board Member, Member of a 12 person board that requires majority vote, Not Investment Related, 1 Hour per month, 0 Hours per day during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2006-10-03

Designations

• Certified Financial Planner