Kathryn Joan Oswald

Current Employers

Employment History

• 11/2014 → 08/2024
  Triad Advisors, Inc.
  Norcross, GA
• 11/2014 → 02/2025
  Osaic Advisory Services
  Norcross, GA
• 08/2024 → 02/2025
  Osaic Wealth, Inc.
  Wilmington, NC
• 02/2025 → Present
  The Strategic Financial Alliance, Inc.
  Atlanta, GA
• 02/2025 → Present
  Strategic Blueprint, Llc
  Atlanta, GA

Previous Registrations

• 2014-11-18 → 2025-02-12
  Osaic Advisory Services, Llc
  Wilmington, NC
  Wilmington, NC
  Shreveport, LA
  Atlanta, GA
  Lithia, FL
  Wesley Chapel, FL
  Wesley Chapel, FL
  Clemmons, NC
• 2008-11-26 → 2014-11-17
  Lpl Financial Llc
  Wilmington, NC
  Shreveport, LA
• 2007-01-19 → 2008-11-06
  Edward Jones
  Wilmington, NC
  Wilmington, NC
  Wilmington, NC
  Wilmington, NC

Other Businesses

1)The Wealth Plan Company;investment related;398 Carl Street,Unit 101,Wilmington,NC 28403;dba;wealth advisor;7/2/2018;180 hrs/month;6.5 hrs during trading;client financial planning,investment management and marketing to prospective clients 2)LEGAN WEALTH MANAGEMENT,LLC;INVESTMENT RELATED;715 WILKINSON STREET;DBA;OWNER;11/25/2008;0 HRS/MONTH;0 HRS DURING TRADING;DBA THROUGH WHICH I FILE MY TAXES 3)398 Carl,LLC;not investment related;398 Carl Street,#101,Wilmington,NC 28403;real estate owner;member;less than 1 hour/month;minimal hours during trading;member

Exams

• S66 Uniform Combined State Law Examination
  2006-12-29
• S63 Uniform Securities Agent State Law Examination
  2001-12-19

Designations

Other Names

• Kathy Jo Legan
• Kathryn J Legan
• Kathy Legan Oswald
• Kathryn J Oswald