Andrew Oswald, financial advisor Clearwater FL

Andrew Oswald

CRD Number: 5153830
Current Firm: Lpl Financial LLC

Andrew Oswald (CRD# 5153830) is an Investment Advisor Representative working at Lpl Financial LLC in Clearwater, FL and has over 17 years of experience in the finance industry. Andrew Oswald has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Clearwater, FL Oct 2014 - Current 9
Flaharty Asset Management, LLC Clearwater, FL Oct 2014 - Current 9
Flaharty & Associates, LLC Clearwater, FL Oct 2014 - Current 9
Ameriprise Financial Services Tampa, FL May 2006 - Oct 2014 8
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2006
Contact Info for Andrew J. Oswald
Phone Number: 704-733-3300
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    368,019
    MILLIONS
  • Total Number of Accounts
    1,688,501
    ACCOUNTS
  • Average Account Value
    $217,956
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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