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Thomas R. Oswald

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CRD#: 602374
TO

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.

Thomas Richard Oswald was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1976. Thomas had worked at 8 firms and has passed the Series 63, Series 4, F04 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
THOMAS OSWALD ASSOCIATES, LLC. DBA THOMAS OSWALD FINANCIAL SERVICES. 75 FOX CHASE RD. FAR HILLS N.J.. INVESTMENT ADVISOR/FINANCIAL CONSULTING. PRESIDENT. DATE OF ASSOCIATION - 2001. COMPENSATION -FEES. INVESTMENT RELATED.

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

May 9, 2006 - May 11, 2006

GLOBAL EQUITY HOLDINGS, LLC

BD
CRD#: 111348
LEBANON, NJ
Past

July 15, 2005 - March 1, 2011

BEDROCK CAPITAL, LLC

RIA
CRD#: 130507
MORRISTOWN, NJ
Past

June 6, 2005 - November 8, 2007

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
ISELIN, NJ
Past

April 6, 2004 - December 31, 2004

BEDROCK CAPITAL, LLC

RIA
CRD#: 130507
MORRISTOWN, NJ
Past

March 18, 2003 - September 30, 2022

THOMAS OSWALD ASSOCIATES, LLC

RIA
CRD#: 127198
PARSIPPANY, NJ
Past

July 17, 2001 - February 16, 2006

GLOBAL EQUITY HOLDINGS, LLC

BD
CRD#: 111348
LEBANON, NJ
Past

March 3, 2000 - February 22, 2005

NEW VERNON SECURITIES, LLC

BD
CRD#: 44308
RIDGEWOOD, NJ
Past

July 16, 1999 - November 20, 2000

CLEMENSEN CAPITAL COMPANY, LLC

BD
CRD#: 45675
JERSEY CITY, NJ
Past

April 3, 1985 - January 28, 1992

BOSTON SECURITIES COMPANY

BD
CRD#: 15885
Past

June 10, 1976 - November 8, 2001

BOSTON INVESTING CORPORATION

BD
CRD#: 7178
NEW YORK, NY

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
RR
Series 63
Date: 1/30/1992
Uniform Securities Agent State Law Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/12/1988
Registered Options Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 3/1/1976
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 2/9/1976
Registered Principal Examination

Current Firm

GE
GLOBAL EQUITY HOLDINGS, LLC
GLOBAL EQUITY HOLDINGS, LLC

CRD#: 111348 / SEC#: , 8-53164

BD
Terminated by SEC on 03/03/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 05/18/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GROSS, DONALD KAY IICCO/DESIGNATED PRINCIPAL/FIN OP/COMPLIANCE OFFICER1913749

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

GLOBAL EQUITY HOLDINGS, LLC

CRD#: 111348

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