Kenneth Steven Spitzbard

MORGAN STANLEY

MADISON, CT · CRD#

SOUNDVIEW PRIVATE WEALTH ADVISORS

CHESHIRE, CT · CRD#

Contact Information

Email

xxxxx@xxxx.xxx

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MORGAN STANLEY

MADISON, CT · CRD#

SOUNDVIEW PRIVATE WEALTH ADVISORS

CHESHIRE, CT · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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MORGAN STANLEY

MADISON, CT · CRD#

SOUNDVIEW PRIVATE WEALTH ADVISORS

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Years of Experience

40 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

388 E Main Street, Branford, CT 06405

February 3, 2026 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

388 E Main Street, Branford, CT 06405

September 1, 2023 - Present

Past

BARD FINANCIAL SERVICES, INC.Past·CRD# 110017

RIA

Branford, CT

February 2, 1989 - February 9, 2026

OSAIC SERVICES, INC.Past·CRD# 133763

BD

Branford, CT

October 31, 2005 - September 1, 2023

SUNAMERICA SECURITIES, INC.Past·CRD# 20068

BD

Phoenix, AZ

June 18, 1989 - October 31, 2005

SOUTHMARK FINANCIAL SERVICES, INC.Past·CRD# 6518

BD

April 20, 1988 - June 18, 1989

GARY GOLDBERG & CO., INC.Past·CRD# 6482

BD

April 13, 1988 - April 13, 1988

SOUTHMARK FINANCIAL SERVICES, INC.Past·CRD# 6518

BD

June 18, 1986 - March 23, 1988

BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTSPast·CRD# 7303

BD

March 19, 1986 - June 18, 1986

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MORGAN STANLEY

MADISON, CT · CRD#

SOUNDVIEW PRIVATE WEALTH ADVISORS

CHESHIRE, CT · CRD#

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone Number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Large

# of Employees

8,979

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Part 2 Brochures

SIGNATOR MANAGED ACCOUNT PLATFORM (8/28/2026)

OSAIC WEALTH, INC ADV PART 2A (8/28/2026)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER	—
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
REID, SHANNON	CEO, PRESIDENT, DIRECTOR	4815189
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory Assets Under Management

Total Number of Accounts

850,797

AUM (Assets Under Management)

$234,858,518,740

Disclosures

Regulatory Event

51

Arbitration

31

Bond

7

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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MORGAN STANLEY

MADISON, CT · CRD#

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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

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MORGAN STANLEY

MADISON, CT · CRD#

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OW

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alaska
(9/1/2023)

RR

Arizona
(9/1/2023)

RR

California
(9/1/2023)

RR

Colorado
(9/1/2023)

RR

Connecticut
(9/1/2023)

IAR

Connecticut
(2/9/2026)

RR

District of Columbia
(9/1/2023)

RR

Florida
(9/1/2023)

IAR

Florida
(2/3/2026)

RR

Georgia
(9/1/2023)

RR

Illinois
(9/1/2023)

RR

Iowa
(9/1/2023)

RR

Kentucky
(4/23/2024)

RR

Louisiana
(9/1/2023)

RR

Maine
(9/1/2023)

RR

Maryland
(9/1/2023)

RR

Massachusetts
(9/1/2023)

RR

Michigan
(9/1/2023)

RR

Minnesota
(9/1/2023)

RR

Montana
(9/1/2023)

RR

New Hampshire
(9/1/2023)

RR

New Jersey
(9/1/2023)

RR

New Mexico
(9/1/2023)

RR

New York
(9/1/2023)

RR

North Carolina
(9/1/2023)

RR

Ohio
(9/1/2023)

RR

Pennsylvania
(9/1/2023)

RR

Rhode Island
(9/1/2023)

RR

South Carolina
(9/1/2023)

RR

Tennessee
(9/1/2023)

RR

Texas
(9/1/2023)

RR

Vermont
(9/1/2023)

RR

Virginia
(9/1/2023)

RR

West Virginia
(9/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

FINRA

SRO Registrations

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MORGAN STANLEY

MADISON, CT · CRD#

SOUNDVIEW PRIVATE WEALTH ADVISORS

CHESHIRE, CT · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Steven Spitzbard's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kenneth Steven Spitzbard's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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MORGAN STANLEY

MADISON, CT · CRD#

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CHESHIRE, CT · CRD#