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Ronald L. Oswick

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CRD#: 2716079
RO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ronald Leonard Oswick JR, who also goes by Ronald Leonard Oswick, Ronald Oswick, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald Leonard Oswick | Ronald Oswick

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.
1. NJ SHARING NETWORK FOUNDATION, 691 CENTRAL AVE, NEW PROVIDENCE NJ; BUSINESS IS NOT INVESTMENT RELATED; NATURE OF OTHER BUSINESS: NJ SHARING NETWORK FOUNDATION EXISTS TO RAISE AWARENESS AND EDUCATION FOR ORGAN AND TISSUE DONATION; POSITION: VICE CHAIRMAN OF THE BOARD; START DATE: 01/01/18; 5 HRS/MONTHLY DEVOTED TO OTHER BUSINESS; 1 HR DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: PARTICIPATE IN QUARTERLY MEETINGS. REACH OUT TO DONOR AND OR RECIPIENT FAMILIES TO OFFER SUPPORT. PARTICIPATE IN NJ SHARING NETWORK PROGRAMS TO TELL MY STORY. MENTOR TEAM CAPTAINS FOR OUR ANNUAL 5K RUN. PARTICIPATE ON COMMITTEES AS NEED BE. 2. FREEHOLD SOCCER LEAGUE; NOT INVESTMENT RELATED; PO BOX 653, FREEHOLD NJ 07728; NATURE OF OTHER BUSINESS: RECREATION YOUTH SOCCER LEAGUE; POSITION: COACH; START DATE: 04/06/24; 4 HRS/MONTH DEVOTED TO OTHER BUSINESS; 0 HRS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: COACH YOUTH SOCCER TEAM SATURDAY MORNINGS FOR AN HOUR.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 31, 2021 - August 5, 2024

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
PARK RIDGE, NJ
Past

June 1, 2017 - August 5, 2024

VP DISTRIBUTORS LLC

BD
CRD#: 3036
NEW YORK, NY
Past

August 1, 2013 - August 30, 2021

VIRTUS FIXED INCOME ADVISERS, LLC

RIA
CRD#: 146029
PARK RIDGE, NJ
Past

November 26, 2012 - June 1, 2017

FORESIDE ASSOCIATES, LLC

BD
CRD#: 13494
PARK RIDGE, NJ
Past

June 1, 2009 - September 30, 2011

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

August 20, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 5, 2005 - July 2, 2007

JEFFERIES LLC

BD
CRD#: 2347
JERSEY CITY, NJ
Past

January 13, 2001 - September 6, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 14, 1998 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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".
VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/1/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/1/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/1998
General Securities Representative Examination

Current Firm

VI
VIRTUS INVESTMENT ADVISERS, LLC
PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA
Registered Investment Advisory firm - (9/17/1969 Approved)
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Contact information

Main Address
One Financial Plaza 26th Floor, Hartford, CT 06103
Mailing Address
Phone number
(800) 248-7971
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts105
AUM (Assets Under Management)$ 53,982,609,839

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

CRD#: 106982

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