Andrew J. Oswald

FLAHARTY ASSET MANAGEMENT

CLEARWATER, FL 33759

CRD#: 5153830

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Professional summary

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

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 5 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

Current

June 15, 2026 - Present

MODERN WEALTH MANAGEMENT, LLC

Office #1: 311 Park Place Boulevard Suite 150, Clearwater, FL 33759

RIA

CRD#: 324624

CLEARWATER, FL

Current

June 12, 2026 - Present

MUTUAL SECURITIES, INC.

Office #1: 311 Park Place Blvd. Ste. 150, Clearwater, FL 33759

CRD#: 13092

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

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

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".

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT OF ARIZONA | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC | MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Florida
(11/12/2014)

Florida
(6/12/2026)

IAR

Texas
(11/12/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/3/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MODERN WEALTH MANAGEMENT, LLC

MODERN WEALTH MANAGEMENT OF ARIZONA | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC | MODERN WEALTH MANAGEMENT, LLC

CRD#: 324624 / SEC#: 801-127231

RIA

Registered Investment Advisory firm - (5/2/2023 Approved)

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Contact information

Main Address

1712 Main Street Suite 400, Kansas City, MO 64108

Mailing Address

Phone number

(913) 393-1000

Established

Firm type

Fiscal year end

# of Employees

253

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN WEALTH MANAGEMENT WRAP FEE BROCHURE (3/20/2026)

MARCH 2026 ADV 2A (3/20/2026)

Regulatory assets under management

Total Number of Accounts	30,617
AUM (Assets Under Management)	$ 10,904,051,242

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Andrew J. Oswald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MODERN WEALTH MANAGEMENT, LLC

MUTUAL SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MODERN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/3/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2006

FINRA

Current Firm

MODERN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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