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AO

Andrew J. Oswald

FLAHARTY ASSET MANAGEMENT
CLEARWATER, FL 33759
CRD#: 5153830
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AO
Andrew Joseph OswaldFLAHARTY ASSET MANAGEMENT

Professional summary

Andrew Joseph Oswald, CFP® is a registered financial advisor currently at FLAHARTY ASSET MANAGEMENT, LLC located in Clearwater, Florida.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Andrew has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?
Tax Planning
Education Planning
Business Succession Planning
Comprehensive Financial Planni...
Investment Planning
Estate Planning
Retirement Planning
Insurance Planning
What is your minimum asset requirement?
100K
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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Joseph Oswald's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Current

November 12, 2014 - Present

FLAHARTY ASSET MANAGEMENT, LLC

Office #1: 311 Park Place Blvd. Suite 150, Clearwater, FL 33759
RIA
CRD#: 168495
CLEARWATER, FL
Past

January 28, 2019 - June 3, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
CLEARWATER, FL
Past

October 17, 2014 - June 3, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
CLEARWATER, FL
Past

October 5, 2006 - October 23, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ST PETERSBURG, FL
Past

August 4, 2006 - October 23, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ST PETERSBURG, FL

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".
FA
FLAHARTY ASSET MANAGEMENT, LLC
FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495 / SEC#: 801-78437

RIA
Registered Investment Advisory firm - (8/27/2013 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
Florida
(11/12/2014)
IAR
Texas
(11/12/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2006
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: 8/3/2006
General Securities Representative Examination

Current Firm

FA
FLAHARTY ASSET MANAGEMENT, LLC
FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495 / SEC#: 801-78437

RIA
Registered Investment Advisory firm - (8/27/2013 Approved)
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Contact information

Main Address
311 Park Place Blvd. Suite 150, Clearwater, FL 33759
Mailing Address
Phone number
(727) 252-1050
Established
Firm type
Fiscal year end
# of Employees
9

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/28/2025)
DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts1,121
AUM (Assets Under Management)$ 809,577,048

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

FLAHARTY ASSET MANAGEMENT, LLC

CRD#: 168495Clearwater, FL 33759

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