Andrew Oswald
Andrew Oswald is a CFP-designated registered investment advisor at LPL Financial LLC, based in Clearwater, FL, with 19 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
311 Park Place Blvd, Ste 150, Clearwater, FL, 33759
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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 →Other Business ActivitiesSells Insurance
Andrew is involved with several entities, including Flaharty & Associates, LLC (variable insurance), Flaharty Asset Management, LLC (financial planning, DBA for LPL), Flaharty Insurance, LLC (insurance agency work), and Oswald Wealth Management, LLC (tax purposes). He dedicates about half of his time to financial planning and a minimal amount of time to insurance sales.
Employment History
Current Registrations
LPL Financial LLC
Flaharty Asset Management, LLC
LPL Financial LLCBroker
Previous Registrations
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
State Registrations13 states
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