MO
Mark M. Oswald
BALEFIRE
DALLAS, TX 75254
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CRD#: 2023553
MO
Professional summary
Mark Michael Oswald is a registered financial advisor currently at BALEFIRE, LLC located in Dallas, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Mark has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Compliance Consultants LLC. 4126 SE 1st Place, Cape Coral, FL. Description of the business: Provide expert witness testimony and support in FINRA and civil disputes. Provide consulting services to BDs and RIAs. Started 06/2003. Not investment related. 2 hrs/mo, none during business hours. Sole Member of the LLC. Ozzie's Pitch-22 Foundation. 4126 SE 1st Place, Cape Coral, FL. Charitable Foundation that provides scholarships. Started 2/2016. Not investment related. Board Member. Administer the Foundation, raise contributions, manage funds for growth. 1 hr/mo, none during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Michael Oswald's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 12, 2024 - Present
BALEFIRE, LLC
Office #1: 14221 Dallas Parkway Suite 100, Dallas, TX 75254RIA
CRD#: 168733
DALLAS, TX
Past
March 10, 2022 - October 17, 2023
BRIDGE CAPITAL ASSOCIATES, INC.
BD
CRD#: 143475
Norcross, GA
Past
March 25, 2021 - November 16, 2021
AEGIS FINANCIAL
RIA
CRD#: 305030
OSHKOSH, WI
Past
December 8, 2009 - May 10, 2019
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ELM GROVE, WI
Past
August 31, 2009 - October 15, 2020
ANNEX WEALTH MANAGEMENT, LLC
RIA
CRD#: 127987
ELM GROVE, WI
Past
October 11, 2000 - June 27, 2003
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
June 2, 1998 - December 7, 2009
SII INVESTMENTS, INC.
BD
CRD#: 2225
BROOKFIELD, WI
Past
March 7, 1997 - May 28, 1998
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
January 4, 1994 - February 6, 1997
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 14, 1992 - February 3, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 14, 1992 - February 3, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
January 24, 1990 - November 26, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 24, 1990 - November 26, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BL
BALEFIRE, LLC
401K FOR ME | WEALTHBRIDGE | VPAG LLC | VISIONPOINT GROUP, LLC | VISIONPOINT ADVISORY GROUP, LLC | VISIONPOINT ADVISORY GROUP | VISIONPOINT 3D SOLUTIONS | VISIONPOINT | UNITED WEALTH MANAGEMENT | TEXAS PRIVATE WEALTH | STAHR, MATTHEW G | ROCKWAY WEALTH PARTNERS | NAVITAS WEALTH ADVISORS | MAKE WAY WEALTH MANAGEMENT | FUSE PARTNERS, LLC | FUSE PARTNERS GROUP LLC | FUSE PARTNERS | FIVE TALENTS FINANCIAL MANAGEMENT GROUP | FIVE TALENTS ADVISORY | DELSA WEALTH MANAGEMENT | CASTLE FINANCIAL | BALEFIRE, LLC | BALEFIRE
CRD#: 168733 / SEC#: 801-78506
RIA
Registered Investment Advisory firm - (1/8/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Minnesota(1/12/2024)
IAR
Texas(4/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/28/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BL
BALEFIRE, LLC
401K FOR ME | WEALTHBRIDGE | VPAG LLC | VISIONPOINT GROUP, LLC | VISIONPOINT ADVISORY GROUP, LLC | VISIONPOINT ADVISORY GROUP | VISIONPOINT 3D SOLUTIONS | VISIONPOINT | UNITED WEALTH MANAGEMENT | TEXAS PRIVATE WEALTH | STAHR, MATTHEW G | ROCKWAY WEALTH PARTNERS | NAVITAS WEALTH ADVISORS | MAKE WAY WEALTH MANAGEMENT | FUSE PARTNERS, LLC | FUSE PARTNERS GROUP LLC | FUSE PARTNERS | FIVE TALENTS FINANCIAL MANAGEMENT GROUP | FIVE TALENTS ADVISORY | DELSA WEALTH MANAGEMENT | CASTLE FINANCIAL | BALEFIRE, LLC | BALEFIRE
CRD#: 168733 / SEC#: 801-78506
RIA
Registered Investment Advisory firm - (1/8/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14221 Dallas Parkway Suite 100, Dallas, TX 75254
Mailing Address
Phone number
(972) 361-1001
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,527 |
| AUM (Assets Under Management) | $ 1,236,940,085 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BALEFIRE, LLC
CRD#: 168733Dallas, TX 75254TRUST BUT VERIFY
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