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Detailed Report
KATHRYN JOAN OSWALD
KATHRYN J LEGAN, KATHY JO LEGAN, KATHRYN J OSWALD, KATHY LEGAN OSWALD
CRD#: 4351886
IA
Investment Adviser
B
Broker
STRATEGIC BLUEPRINT, LLCCRD#: 284840 398 Carl Street Unit 101
Wilmington, NC 28403
THE STRATEGIC FINANCIAL ALLIANCE, INC.CRD#: 126514 398 Carl Street Unit 101
Wilmington , NC 28403
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2008 - 2014 (6 years)2 FIRMS2025 - Present (<1 year)BOSAIC WEALTH, INC. (CRD# 23131)2024 - 2025 (<1 year)BTRIAD ADVISORS LLC (CRD# 25803)2014 - 2024 (9 years)BEDWARD JONES (CRD# 250)2001 - 2008 (7 years)IAOSAIC ADVISORY SERVICES, LLC (CRD# 171070)2014 - 2025 (10 years)IAEDWARD JONES (CRD# 250)2007 - 2008 (1 year)
License(s)

State Registrations

B
Arkansas 2/12/2025
B
Nevada 2/12/2025
B
California 2/12/2025
IA
North Carolina 2/12/2025
B
Georgia 2/12/2025
B
North Carolina 2/14/2025
B
Louisiana 2/12/2025
B
South Carolina 2/12/2025
B
Missouri 2/12/2025
B
Texas 2/12/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STRATEGIC BLUEPRINT, LLC (CRD#:284840)
398 Carl Street Unit 101, Wilmington, NC 28403
Registered with this firm since 2/12/2025
B
THE STRATEGIC FINANCIAL ALLIANCE, INC. (CRD#:126514)
398 Carl Street Unit 101, Wilmington , NC 28403
Registered with this firm since 2/12/2025
Previous Registration(s)
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IA
 11/18/2014 - 02/12/2025 OSAIC ADVISORY SERVICES, LLC (CRD#:171070) Wilmington, NC
B
 08/23/2024 - 02/12/2025 OSAIC WEALTH, INC. (CRD#:23131) Wilmington, NC
B
 11/18/2014 - 08/23/2024 TRIAD ADVISORS LLC (CRD#:25803) ATLANTA, GA
IA
 11/26/2008 - 11/17/2014 LPL FINANCIAL LLC (CRD#:6413) SHREVEPORT, LA
B
 11/26/2008 - 11/17/2014 LPL FINANCIAL LLC (CRD#:6413) SHREVEPORT, LA
IA
 01/19/2007 - 11/06/2008 EDWARD JONES (CRD#:250) WILMINGTON, NC
B
 08/23/2001 - 11/06/2008 EDWARD JONES (CRD#:250) WILMINGTON, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.