James J. Oswald

HAVEN PRIVATE

Orlando, FL 32814

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CRD#: 7364290

Professional summary

James Jacob Oswald is a registered financial advisor currently at HAVEN PRIVATE located in Orlando, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. James has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

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.

Lyft Driver - not investment related; 8497 Chris St Bel Aire, KS; independent contractor for ride share; driver; independent contractor; July 2021-present; 60hrs/ month; 0 hours during investment advisor hours; driving for ride share Bold Networking - not investment related; 8497 Chris St Bel Aire, KS; regional vice president of networking in Wichita, KS; November 2020-present; 20hrs/ month; 10hrs/month during investment advisor hours; coordinate local networking groups and events in the Wichita area Independent Insurance Agent - not investment related; 515 S Main St Wichita, KS; independent insurance agent; May 2020-present; 6hrs/week; 6hrs/week during investment advisor hours; assist clients in contracting life insurance applications

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jacob 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®

None

Experience

Current

November 21, 2024 - Present

HAVEN PRIVATE

Office #1: 976 Lake Baldwin Lane Suite 201, Orlando, FL 32814

RIA

CRD#: 329012

Orlando, FL

Past

October 11, 2024 - October 25, 2024

GFG SOLUTIONS

RIA

CRD#: 331977

ORLANDO, FL

Past

March 29, 2024 - October 8, 2024

GFG SOLUTIONS

RIA

CRD#: 328988

ORLANDO, FL

Past

March 1, 2022 - March 1, 2023

STEWARDRIGHT

RIA

CRD#: 287644

WICHITA, KS

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".

HAVEN PRIVATE

HAVEN PRIVATE | HAVEN PRIVATE, LLC

CRD#: 329012 / SEC#: 801-129272

RIA

Registered Investment Advisory firm - (1/2/2024 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
(11/21/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2022

Uniform Investment Adviser Law Examination

Current Firm

HAVEN PRIVATE

HAVEN PRIVATE | HAVEN PRIVATE, LLC

CRD#: 329012 / SEC#: 801-129272

RIA

Registered Investment Advisory firm - (1/2/2024 Approved)

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Contact information

Main Address

976 Lake Baldwin Lane Suite 201, Orlando, FL 32814

Mailing Address

Phone number

(321) 329-8674

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	526
AUM (Assets Under Management)	$ 351,447,522

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.

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James J. Oswald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jacob Oswald's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAVEN PRIVATE

GFG SOLUTIONS

GFG SOLUTIONS

STEWARDRIGHT

Primary Firm SEC Registration

HAVEN PRIVATE

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2022

Current Firm

HAVEN PRIVATE

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAVEN PRIVATE

TRUST BUT VERIFY

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