Valery Oswald has been Managing Partner/ Chief Compliance Officer of Epic Wealth Management since July 2018, is a control person of the firm and directly owns under 5% of it.
Epic Wealth Management, LLC is an Oklahoma City, OK firm with $121M under management, 153 clients and 4 advisers across 2 offices, as of its March 2026 filing.
Valery Oswald’s longest registration was 20 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (1989–2009). Before joining Epic Wealth Management in 2018, Valery Oswald was registered through Raymond James & Associates, Inc. and Arvest Asset Management.
- Epic Wealth Management, LLCCurrent– present · 8 yearsOklahoma City, OK · Adviser representative · Firm CRD 297643
- Raymond James & Associates, Inc.– · 4 yearsOklahoma City, OK · Adviser representative · Firm CRD 705
- Arvest Asset Management– · 4 yearsEdmond, OK · Adviser representative · Firm CRD 42057
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 20 yearsOklahoma City, OK · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Valery Oswald is registered as an investment adviser representative in Oklahoma, since July 2018.
- OklahomaSince 12 July 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 8 November 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 1 October 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 November 1989 |
| Series 7 | General Securities Representative Examination | 21 October 1989 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Valery Lynn Oswald
- CRD
- 1997347
- Firm
- Epic Wealth Management · CRD 297643
- Role
- Managing Partner/ Chief Compliance Officer
- Office
- 7406 N CLASSEN BLVD, Oklahoma City, OK 73116
- Registration
- Investment adviser registration
- In the industry since
- February 1989
- Disciplinary history
- Not yet shown here · SEC record
Where does Valery Oswald work?
Valery Oswald has been Managing Partner/ Chief Compliance Officer of Epic Wealth Management, LLC since July 2018, and is a control person of the firm.
Is Valery Oswald a financial advisor?
Yes. Valery Oswald has a current investment-adviser registration in Oklahoma, through Epic Wealth Management since July 2018.
How many years of experience does Valery Oswald have?
Valery Oswald has 37 years in the financial industry, since February 1989, across 4 adviser firms.
What exams has Valery Oswald passed?
Valery Oswald has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in October 1989. FINRA credited Valery Oswald with the SIE, which began in October 2018.
Where did Valery Oswald work before Epic Wealth Management?
Before Epic Wealth Management, Valery Oswald was registered through Arvest Asset Management, May 2009 to January 2014; Merrill Lynch, Pierce, Fenner & Smith Incorporated, February 1989 to May 2009.
Where is Valery Oswald based?
Valery Oswald’s registered office is in Oklahoma City, OK.
Is Valery Oswald registered with FINRA?
No. Valery Oswald has no current broker registration.
How can I verify Valery Oswald’s record?
Search CRD 1997347 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Valery Oswald’s full registration record.