Position:: Host of 'Money Talk' heard Saturday mornings from 10-11
Mark is the Managing Partner of Annex Wealth Management ®, LLC and is responsible for the regulatory oversight and daily operations of the wealth management firm and its affiliates. His responsibilities include the continuing development of all aspects of the firm, including regulatory oversight of all Annex Wealth Management ® advisors, supervision of accounts and transactions, and compliance with US Securities & Exchange Commission and related securities rules and regulations.
His extensive regulatory experience is reflected in the core principles on which Annex was founded. First, fostering an environment of independence where all investment choices and tools are available to clients and proprietary-products and quotas are never introduced. Secondly, providing a fee-based platform where Annex’s advisors act as fiduciaries and are duty-bound to act in the best interests of our clients. Furthermore, the integration of seasoned Estate Planning Attorneys, CPAs and other professionals into the client-advisor relationship enhancing the firm’s abilities to deliver "complete financial solutions" to its clients.
Did you know?
Mark can also be heard as the co-host of "Money Talk", Saturday mornings at 10:00 am on NewsRadio 620 WTMJ where he enjoys taking calls from listeners and discussing the economy and investment strategies for the future. Mr. Oswald is also frequently asked to act as an "expert witness" in industry cases and regulatiry matters.
Prior to assuming his current duties, Mark served five years as the Chief Compliance Officer for FINRA Member Firms, SII Investments, Inc. and Investment Centers of America Inc., developing and implementing all supervisory structures for those firms. In the late 1990’s, he acted in a similar capacity for Princor Financial Services, the broker-dealer arm of the Principal Financial Group. He began his more than 15 years of regulatory experience in the position of Vice-President Compliance with NYSE Member, Robert W. Baird & Co.
Mark holds FINRA registrations of General Securities Representative (Series-7), General Securities Sales Supervisor (Series-8), General Securities Principal (Series-24), Uniform Securities Agent State Law (Series-63), and Uniform Investment Advisor Law (Series-65) with Annex Advisory Services. Mark is an active Board Member of the Development Council of Children’s Hospital Foundation of Wisconsin in support of providing unparalleled care to children in need in our community and throughout the state.
He and his wife, Erica, are raising their children Mark Jacob, Andrew and Megan in New Berlin, Wisconsin.