Thomas R. Oswald
COMPLIANCE DIRECTOR

Mr. Oswald is the Compliance Director for Sandalwood. Mr. Oswald has 40 years experience managing assets for high net worth individuals. He began his career as a Certified Public Accountant with Coopers and Lybrand in 1962 concentrating in stock brokerage, mutual funds, and other financial institutions. In 1968, he became a partner in a New York Stock Exchange broker/dealer specializing in institutional sales, underwriting, and private placements.

In 1970, he joined Train Cabot Counsel and Accounting Management Company, a full-service financial institution providing investment advice, broker/dealer, and tax and accounting services for high net worth individuals and families. In his role as President of Accounting Management Company he worked with clients to develop overall financial and tax strategies including a review of asset allocation and the selection of appropriate portfolio managers. He was also responsible for their broker dealer and investment advisor compliance.

Mr. Oswald received his B.S. in business from St. Peter's College in 1962.

Email: tro@sandalwoodsecurities.com