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Katherine Ann Tunstall

Osaic Wealth, Inc.

Scottsdale, AZ

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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-27
  • TX RA
    APPROVED
    Since 2023-11-27

Branch Locations

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • UNITED STATES

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Advisor Group Atlanta GA 06/2022 Present
College Of The Mainland Texas City TX 08/2020 06/2022
Santa Fe Junior High Santa Fe TX 08/2019 08/2020
Clear Creek Isd League City TX 10/2018 05/2019
None League City TX 05/2019 08/2019
The Social Seagull League City TX 01/2018 12/2018
None League City TX 01/2013 01/2018
College Of The Mainland Texas City TX 03/2023 Present
  • 06/2022 → Present
    Advisor Group
    Atlanta, GA
  • 08/2020 → 06/2022
    College Of The Mainland
    Texas City, TX
  • 08/2019 → 08/2020
    Santa Fe Junior High
    Santa Fe, TX
  • 10/2018 → 05/2019
    Clear Creek Isd
    League City, TX
  • 05/2019 → 08/2019
    None
    League City, TX
  • 01/2018 → 12/2018
    The Social Seagull
    League City, TX
  • 01/2013 → 01/2018
    None
    League City, TX
  • 03/2023 → Present
    College Of The Mainland
    Texas City, TX
Previous Registrations
  • 2002-09-16 → 2006-09-06
    American General Securities Incorporated
    Houston, TX
    Houston, TX
  • 2001-09-07 → 2002-10-22
    Houston, TX
Other Businesses

1. COLLEGE OF THE MAINLAND POSITION: Adjunct Business Professor NATURE: Community College, public entity INVESTMENT RELATED: No NUMBER OF HOURS: 24 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 1200 Amburn Rd., Texas City TX 77591, United States DESCRIPTION: Teach business classes to college students; grade assignments; take attendance; post grades; lecture and post related content; answer student questionsNo time during work hours spent; teach classes as assigned, but not generally more than one per semester. 2. COLLEGE OF THE MAINLAND POSITION: Business Advisory Committee NATURE: Community College INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/14/2026 ADDRESS: 1200 N. Amburn Road, Texas City TX 77591, United States DESCRIPTION: The position is intended to advise the Business Department of the student skills needed and business course offerings to better support the community of companies/industries and residents served by the college. 3. DPOA - MARY & TOMMY TUNSTALL POSITION: Attorney-in-Fact NATURE: No Business Entity - Just acting as DPOA for both of my parents for their banking and securities accounts (Equitable (LPL as custodian) and Schwab) INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/04/2026 ADDRESS: 1917 Lazy Creek Lane, Pearland TX 77581, United States DESCRIPTION: Act as Durable Power of Attorney should either or both of my parents become incapacitated or incapable of managing their affairs.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-17
S65 Uniform Investment Adviser Law Examination 2000-05-23
S63 Uniform Securities Agent State Law Examination 1999-08-12
  • S66 Uniform Combined State Law Examination
    2023-11-17
  • S65 Uniform Investment Adviser Law Examination
    2000-05-23
  • S63 Uniform Securities Agent State Law Examination
    1999-08-12
Other Names
  • Katherine Tunstall
  • Katherine Ann Tunstall
  • Katherine Tunstall Doan
  • Katy Schroeder
  • Katherine Tunstall Schroeder
  • Katy Tunstall

View on SEC IAPD

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