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4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2024-09-11 |
Branch Locations
950 Main Ave, Ste. 1420, Cleveland, OH 44113 • United States
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oswald Companies | Cleveland | OH | 04/2024 | Present |
| Fund That Flip, Inc | Cleveland | OH | 08/2021 | 04/2024 |
| John Carroll University | University Heights | OH | 08/2017 | 07/2021 |
| Wendy's | Bolivar | OH | 06/2014 | 07/2017 |
| Lpl Financial Llc | Cleveland | OH | 07/2024 | Present |
| Global Retirement Partners, Llc | San Rafael | CA | 09/2024 | Present |
1.07/09/2024; Investment products and services are offered through LPL Financial LLC using the DBA/trade name OSWALD FINANCIAL INC; Investment Related; at Reported Business Location(s); Start Date 05/10/2024; 160hrs/mth; 8hrs during trading 2.10/11/2024; GLOBAL RETIREMENT PARTNERS; Registered Investment Advisor Hybrid; Investment Related; at Reported Business Location(s); Start Date 05/10/2024; 160hrs/mth; 8hrs during trading; 3.10/11/2024; OSWALD FINANCIAL INC; Registered Investment Advisor DBA; Investment Related; at Reported Business Location(s); Start Date 05/10/2024; 160hrs/mth; 8hrs during trading; 4.05/22/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Oswald Financial Wealth Management; Investment Related; at Reported Business Location(s); Start Date 05/21/2026; 160hrs/mth; 10hrs during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-04 |
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