Mark Oswald is a seasoned Chief Compliance Officer at Balefire Wealth, bringing over 30 years of experience in compliance services to broker/dealers and Registered Investment Advisors. Previously, Mark held senior compliance roles at various organizations, including SII Investments and Annex Wealth Management. Mark's expertise extends to regulatory oversight and providing fiduciary guidance, along with contributions as an expert witness in legal matters related to the securities industry. Additionally, Mark owns Compliance Consultants, LLC, where they assist in establishing new investment advisory firms and offer compliance-related advice. Mark co-hosted a financial program on Money Talk - 620AM WTMJ from 2006 to 2020.
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