Patrick Oswald
Patrick Oswald is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Oakland, CA, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
1111 Broadway, Oakland, CA, 94607
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
W.R. Hambrecht + CO., LLCBroker
Wedbush Securities INC.Broker
Sharespost Financial CorporationBroker
Wedge Securities, LLCBroker
Thinkequity LLCBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Lighthouse Financial Group, LLCBroker
Multitrade Securities LLCBroker
Leerink Swann LLCBroker
Screaming Eagle Trading, INC.Broker
Merriman Curhan Ford & CO.Broker
Screaming Eagle Trading, INC.Broker
Jmp Securities LLCBroker
Banc of America Securities LLCBroker
Bancboston Robertson Stephens INC.Broker
Banc of America Securities LLCBroker
Montgomery SecuritiesBroker
State Registrations11 states
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