Unclaimed Profile

Thomas Richard Oswald

SANDALWOOD SECURITIES, INC.·ROSELAND, New Jersey

Series 4, Series 40, Series 6323 years registeredSANDALWOOD SECURITIES, INC.

105 EISENHOWER PARKWAY, ROSELAND, NJ 07068CRD# 602374Firm CRD# 27240

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Richard Oswald · ROSELAND, NJ

Registration

CRD #602374 · SANDALWOOD SECURITIES, INC. · 23 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SANDALWOOD SECURITIES, INC.

BEDROCK CAPITAL, LLC

Jul 2005 – Mar 2011

MORRISTOWN, NJ

BEDROCK CAPITAL, LLC

Apr 2004 – Dec 2004

MORRISTOWN, NJ

THOMAS OSWALD ASSOCIATES, LLC

Mar 2003 – Sep 2022

PARSIPPANY, NJ

Registrations & Exams

FINRA examinations passed

Series 4

Series 40

Series 63

Registration record

First registered · March 18, 2003

Years registered · 23

Disclosure History

1989Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

SANDALWOOD SECURITIES, INC.

CRD 27240 · SEC 801-42453

AUM

$744M

Regulatory assets under management

Employees

9 client accounts

Services offered by SANDALWOOD SECURITIES, INC.

Per Form ADV

Pension consulting

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at SANDALWOOD SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Richard Oswald offer?

Thomas Richard Oswald specializes in Retirement Planning.

What are Thomas Richard Oswald's credentials?

Thomas Richard Oswald is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Richard Oswald located?

Thomas Richard Oswald is based in ROSELAND, New Jersey, last registered with SANDALWOOD SECURITIES, INC..

How does Thomas Richard Oswald charge for services?

Thomas Richard Oswald's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SANDALWOOD SECURITIES, INC.?

SANDALWOOD SECURITIES, INC. has approximately 12 employees and manages $744M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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