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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 | 2018-02-21 |
Branch Locations
950 Main Ave, Ste. 1420, Cleveland, OH 44113 • United States
4340 Redwood Highway Suite B-60, San Rafael, CA 94903 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services,Inc | Orrville | OH | 06/2016 | 10/2016 |
| Raymond James Financial Services Advisors Inc. | Norton | OH | 06/2016 | 10/2016 |
| Valmark Securities, Inc. | Akron | OH | 01/2017 | 01/2018 |
| Valmark Advisers, Inc. | Akron | OH | 01/2017 | 01/2018 |
| W3 Wealth Advisors, Llc | Akron | OH | 12/2016 | 01/2018 |
| Lpl Financial, Llc | Cleveland | OH | 02/2018 | Present |
| Global Retirement Partners, Llc | Cleveland | OH | 02/2018 | Present |
1. 2/12/2018 - OSWALD FINANCIAL, INC - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 140 Hours Per Month/7 Hours During Securities Trading - Time Spent 80%. 2. 3/29/2018 - Global Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 02/09/2018 - 140 Hours Per Month - I provide investment advisory services through Global Retirement Partners, an independent investment advisor firm. I started this business activity in 2/2018. I expect to spend approximately 140 hours per month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 3/29/2018 - Oswald Financial, Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 02/09/2018 - 140 Hours Per Month/7 Hours During Securities Trading - Time Spent 80%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-03 |
| S63 | Uniform Securities Agent State Law Examination | 2002-12-12 |
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