Thomas Richard Oswald
Professional Summary
Thomas Richard Oswald was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1976 - 2006. Thomas had worked at 8 firms and has passed the Series 63, Series 4, F04 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
GLOBAL EQUITY HOLDINGS, LLC
Contact Information
Established
New Jersey since 05/18/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROSS, DONALD KAY II | CCO/DESIGNATED PRINCIPAL/FIN OP/COMPLIANCE OFFICER | 1913749 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
F04 — Financial Principal Examination
Passed Mar 1976Series 40 — Registered Principal Examination
Passed Feb 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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