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Joseph Gregory Oswald

LPl Financial LLC

Wichita, KS

Newton, KS

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-02-06
KS RA APPROVED 2006-06-09
  • TX RA
    APPROVED_RES
    Since 2017-02-06
  • KS RA
    APPROVED
    Since 2006-06-09

Branch Locations

12021 E 13Th St N, Ste 250, Wichita, KS 67206 • United States

Newton, KS • 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
OrganizationCityStateFromTo
Lpl Financial, Llc Wichita KS 06/2006 Present
Previous Registrations
  • 2003-08-04 → 2006-06-20
    A. G. Edwards & Sons, Inc.
    Wichita, KS
    Wichita, KS
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-12
S63 Uniform Securities Agent State Law Examination 1986-10-03
  • S65 Uniform Investment Adviser Law Examination
    1997-05-12
  • S63 Uniform Securities Agent State Law Examination
    1986-10-03
Other Names
  • Joe Oswald

View on SEC IAPD

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Other Offices

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