Andrew Oswald has been an investment adviser representative at Flaharty Asset Management since November 2014, and is not listed among the firm’s executive officers or direct owners.
Flaharty Asset Management, LLC is a Clearwater, FL firm with $902M under management, 1,130 clients and 9 advisers across 2 offices, as of its March 2026 filing.
Andrew Oswald’s longest registration is the current one, 11 years at Flaharty Asset Management since 2014. Before joining Flaharty Asset Management in 2014, Andrew Oswald was registered through Ameriprise Financial Services, Inc.
- Modern Wealth Management, LLCAlso current– present · under a yearClearwater, FL · Adviser representative · Firm CRD 324624
- LPL Financial LLC– · 7 yearsClearwater, FL · Adviser representative · Firm CRD 6413
- – present · 11 yearsClearwater, FL · Adviser representative · Firm CRD 168495
- Ameriprise Financial Services, Inc.– · 8 yearsSt Petersburg, FL · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Andrew Oswald is registered as an investment adviser representative in 2 states. Each was approved in November 2014.
- FloridaSince 12 November 2014
- TexasSince 12 November 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 3 October 2006 |
| Series 7 | General Securities Representative Examination | 3 August 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew Joseph Oswald
- CRD
- 5153830
- Firm
- Flaharty Asset Management · CRD 168495
- Office
- 311 PARK PLACE BLVD., SUITE 150, Clearwater, FL 33759
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Andrew Oswald work?
Andrew Oswald is an investment adviser representative registered through Flaharty Asset Management, LLC since November 2014, and is not listed among the firm’s executive officers or direct owners.
Is Andrew Oswald a financial advisor?
Yes. Andrew Oswald has a current investment-adviser registration in Florida and Texas, through Flaharty Asset Management since November 2014.
How many years of experience does Andrew Oswald have?
Andrew Oswald has 20 years in the financial industry, since August 2006, across 4 adviser firms.
What exams has Andrew Oswald passed?
Andrew Oswald has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2006. FINRA credited Andrew Oswald with the SIE, which began in October 2018.
Where did Andrew Oswald work before Flaharty Asset Management?
Before Flaharty Asset Management, Andrew Oswald was registered through Ameriprise Financial Services, Inc., October 2006 to October 2014.
Where is Andrew Oswald based?
Andrew Oswald’s registered office is in Clearwater, FL.
Is Andrew Oswald registered with FINRA?
Yes. Andrew Oswald has a current broker registration, under CRD 5153830.
Source: FINRA BrokerCheck
How can I verify Andrew Oswald’s record?
Search CRD 5153830 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Andrew Oswald’s full registration record.