James Oswald has been an investment adviser representative at Haven Private since November 2024, and is not listed among the firm’s executive officers or direct owners. James Oswald studied Management at United States Military Academy at West Point.
Haven Private, LLC is an Orlando, FL firm with $428M under management, 186 clients and 5 advisers in one office, as of its April 2026 filing.
James Oswald is Director of Planning at Haven Private LLC. He served just over five years on active duty as a U.S. Army Engineer Officer. His financial career began in 2020 as a risk management professional, and he later moved into financial planning as an investment advisor in Wichita, KS.
James Oswald’s longest registration is the current one, 1 year at Haven Private since 2024. Before joining Haven Private in 2024, James Oswald was registered through GFG Solutions and Leading Edge Financial Planning.
- GFG Solutions– · under a yearOrlando, FL · Adviser representative · Firm CRD 331977
- GFG Solutions– · under a yearOrlando, FL · Adviser representative · Firm CRD 328988
- Leading Edge Financial Planning– · 1 yearWichita, KS · Adviser representative · Firm CRD 287644
Investment adviser representative registrations
James Oswald is registered as an investment adviser representative in Florida, since November 2024.
- FloridaSince 21 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 24 February 2022 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- James Jacob Oswald
- CRD
- 7364290
- Firm
- Haven Private · CRD 329012
- Office
- 976 LAKE BALDWIN LANE, SUITE 201, Orlando, FL 32814
- Registration
- Investment adviser registration
- In the industry since
- April 2023
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- havenprivate.com
Where does James Oswald work?
James Oswald is an investment adviser representative registered through Haven Private, LLC since November 2024, and is not listed among the firm’s executive officers or direct owners.
Is James Oswald a financial advisor?
Yes. James Oswald has a current investment-adviser registration in Florida, through Haven Private since November 2024.
How many years of experience does James Oswald have?
James Oswald has 3 years in the financial industry, since April 2023, across 4 adviser firms.
What exams has James Oswald passed?
James Oswald passed the Series 65 in February 2022.
Where did James Oswald work before Haven Private?
Before Haven Private, James Oswald was registered through GFG Solutions, October 2024 to October 2024; GFG Solutions, March 2024 to October 2024; Leading Edge Financial Planning, March 2022 to March 2023.
Where is James Oswald based?
James Oswald’s registered office is in Orlando, FL.
Is James Oswald registered with FINRA?
No. James Oswald has no current broker registration.
How can I verify James Oswald’s record?
Search CRD 7364290 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Oswald’s full registration record.
