Kenneth Steven Spitzbard

Current Employers

Employment History

• 01/1985 → Present
  Bard Financial Services
  Branford, CT
• 01/2009 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Branford, CT

Previous Registrations

• 1989-02-02 → 2026-02-09
  Bard Financial Services, Inc.
  Branford, CT
  West Haven, CT

Other Businesses

1. KENNETH SPITZBARD-INSURANCE; POS Owner/salesman; NATURE: Sole Prop; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 01/01/1986; 388 East Main St. Branford, CT 06405; Sell an occasional term policy. No cash value insurance. 2. BUDDERFLY; POSITION: passive investor; NATURE: C- Corp; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 10/31/2018; 2 Trap Falls Rd., Shelton CT 06484; None. 3. 2019 TRUST FBO MELISSA GOLDBERG; POS Successor Trustee; NATURE: Sole Prop; INV RELATED: No; HRS: 0; SEC HRS: 0; 05/01/2019; ADDRESS: 388 East Main St, Branford CT 06405; Serve as Succ TTEE in the future, if needed, assuming I am not affiliated with Osaic or its successors. 3. MILTON SPITZBARD FAMILY TRUST; POS: Co-Trustee; NATURE: Trust; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 01/02/1999; 316 Goose Lane, Orange CT 06407; I serve as co-trustee and manage the Osaic account registered in its name. 4. BARD FINANCIAL SERVICES; POSITION: President; NATURE: S-Corp - Independent RIA; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 01/01/1986; 388 East Main St. Branford, CT 06405; I occasionally charge a fixed fee for one time help or advice. 5. JEWISH FOUNDATION OF GREATER NEW HAVEN INVESTMENT OVERSIGHT COMMITTEE; POSITION: member; NATURE: Not for profit foundation; INV RELATED: No; HRS: 1; SEC HRS: 0; 04/28/2014; 360 Amity Rd, Woodbridge CT 06525; Member of the investment oversight committee. Meet and review quarterly the performance of the Foundation's endowment with the consultant to the portfolio. 6. REVERENCE CAPITAL PARTNERS II; POSITION: passive investor; NATURE: LP (see Reverence Capital Partners 1, approved in 2014); INV RELATED: Yes; HRS: 0; SEC HRS: 0; 12/01/2017; 477 Madison Ave., New York NY 10022; Passive investor in a private equity fund. Similar to Rev. Cap Partners 1, which was approved in 2014. This was also approved by Osaic. 7. RJW DEVELOPMENT; POSITION: owner; NATURE: LLC; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 06/02/2017; 388 East Main St., Branford CT 06405; Rented the property to in-laws since Sept/Oct Single family rental home located at 6 Frederick St. New Haven, CT. I am the single member 2017. 8. REVERENCE CAPITAL PARTNERS FUND 3; POSITION: passive investor; NATURE: LLC; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 07/01/2020; 10 East 53rd St. 14th Fl., NY 10022; None. 9. REVERENCE CAPITAL PARTNERS; POSITION: passive investor; NATURE: partnership; INV RELATED: Yes; HRS: 0; SEC HRS: 0; 04/01/2014; 477 Madison Ave. 23rd floor, NY 10022; I am a very small passive investor in a friend's private equity fund

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-09-28
• S63 Uniform Securities Agent State Law Examination
  1986-10-03