Patrick Owen Oswald

CRD 2262543 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Oakland, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 24SIESeries 31Series 7
Registered states (11): Arizona · California · Florida · Idaho · Nevada · New York · North Carolina · South Carolina · Tennessee · Virginia · Washington
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (20)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Oakland, CA · IA capacity

Jan 27, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Oakland, CA · BC capacity

start not retrieved → present
W.R. Hambrecht + Co., LLC
BD capacity

May 20, 2014 → Aug 24, 2015
Wedbush Securities Inc.
BD capacity

Nov 7, 2013 → May 22, 2014
Sharespost Financial Corporation
BD capacity

Aug 21, 2012 → Sep 11, 2013
Wedge Securities, LLC
BD capacity

Oct 17, 2011 → Apr 27, 2012
Thinkequity LLC
BD capacity

Jan 26, 2011 → Sep 19, 2011
Morgan Stanley Smith Barney LLC
IA capacity

Oct 1, 2009 → Feb 3, 2011
Morgan Stanley Smith Barney
BD capacity

Sep 30, 2009 → Feb 3, 2011
Lighthouse Financial Group, LLC
BD capacity

May 13, 2009 → Oct 27, 2009
Multitrade Securities LLC
BD capacity

May 1, 2009 → Oct 7, 2009
Leerink Swann LLC
BD capacity

Apr 1, 2009 → Apr 21, 2009
Screaming Eagle Trading, Inc.
BD capacity

Aug 8, 2008 → Jan 30, 2009
Merriman Curhan Ford & Co.
BD capacity

Jun 7, 2007 → Aug 6, 2008
Screaming Eagle Trading, Inc.
BD capacity

Aug 26, 2004 → May 31, 2007
Jmp Securities LLC
BD capacity

Jun 24, 2002 → Aug 24, 2004
Banc Of America Securities LLC
BD capacity

Aug 17, 1999 → Apr 15, 2002
Bancboston Robertson Stephens Inc.
BD capacity

Jul 7, 1999 → Aug 17, 1999
Banc Of America Securities LLC
BD capacity

Oct 1, 1997 → Jul 8, 1999
Montgomery Securities
BD capacity

Sep 30, 1992 → Oct 1, 1997

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2262543 ↗ FINRA BrokerCheck record for CRD 2262543 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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