Robert M. Oswald
Professional summary
Robert Michael Oswald, who also goes by Robert M Oswald, is a registered financial professional currently at MERIDIAN EQUITY PARTNERS, INC. located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Oswald's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2011 - Present
MERIDIAN EQUITY PARTNERS, INC.
Office #1: C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038June 23, 1999 - September 30, 2011
UBS SECURITIES LLC
November 28, 1997 - July 1, 1998
CITIGROUP GLOBAL MARKETS INC.
February 25, 1994 - July 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/7/2011)
Exams
FINRA
NYSE American LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
MERIDIAN EQUITY PARTNERS, INC.
CRD#: 133849 / SEC#: , 8-66784
Contact information
FINRA licenses (8 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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