AdFi
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Mark Michael Oswald

Investment Adviser Representative at BALEFIRE, LLC

Dallas, TXCRD #2023553Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Mark Michael Oswald has worked in the securities industry since 1992. They are registered to provide investment advisory services in Minnesota.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Minnesota
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/22/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 1/26/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/20/1990
Series 24
General Securities Principal Examination
Passed 2/29/1996
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 2/28/1996

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.0125
Source

Balefire, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BALEFIRE, LLCCurrent
1/12/2024Dallas, TX
AEGIS FINANCIAL
3/25/202111/16/2021Oshkosh, WI
ANNEX WEALTH MANAGEMENT, LLC
8/31/200910/15/2020Elm Grove, WI

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark Michael Oswald has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Mark Michael Oswald - Financial Advisor in Dallas, TX | AdvisorFinder