Kristina W. Oswald
CETERA INVESTMENT ADVISERS LLC
COLLINSVILLE, CT 06019
Some features on this profile are disabled
CRD#: 1751719
Professional summary
Kristina Wadman Oswald, AIF®, CFP®, ChFC®, CLU®, who also goes by Kristina Wadman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Collinsville, Connecticut and CETERA WEALTH SERVICES, LLC located in Collinsville, Connecticut.
Kristina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kristina has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristina Wadman
Other business activities
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) INDEPENDENT INSURANCE AGENT, FROM BUSINESS ADDRESS, DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, 5 HOURS SECURITIES, 1 HOUR NON SECURITIES, SINCE 1/1998; (2) PLANNING PARTNERS LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, FINANCIAL PLANNING, & INSURANCE, START 1998, 40HRS/WK (32.5 TRADING HOURS), OWNER; (3) NAME OF OTHER BUSINESS: FIRST CONGREGATIONAL CHURCH CANTON CENTER INVESTMENT RELATED: NO ADDRESS: 184 CHERRY BROOK ROAD. CANTON, CT 06019 NATURE OF BUSINESS: SUBCOMMITTEE START DATE: 01/01/2016 POSITION/TITLE/RELATIONSHIP: SUBCOMMITTEE MEMBER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: MEET 2-3 TIMES A YEAR TO REVIEW CHURCH'S ENDOWMENT FUNDS. (4) NAME OF OTHER BUSINESS: FINANCIAL PLANNING ASSOCIATION OF CONNECTICUT, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2023, POSITION/TITLE/RELATIONSHIP: MEMBER BOD, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ATTENDING MEETINGS, REVIEWING POLICIES AND EVENTS AND VOTING ON CHAPTER MATTERS AS NEEDED, MEMBER OF MEMBERSHIP COMMITTEE; (5) NAME OF OTHER BUSINESS: CANTON COMMUNITY HEALTH FUND, INVESTMENT RELATED: NO, ADDRESS: 138 TORRINGTON AVENUE, COLLINSVILLE, CT 06019, NATURE OF BUSINESS: NON-PROFIT, START DATE: 11/2023, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING OF BANK AND INVESTMENT ACTIVITY;
CRS (Client Relationship Summary) - RIA
Click below to view Kristina Wadman Oswald's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2002
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 101 River Rd 2nd Fl, Collinsville, CT 06019RIA
CRD#: 105644
COLLINSVILLE, CT
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 River Rd 2nd Fl, Collinsville, CT 06019BD
CRD#: 13572
Collinsville, CT
Past
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 25, 1998 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
COLLINSVILLE, CT
Past
November 25, 1987 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
COLLINSVILLE, CT
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/23/2025)
RR
California(9/3/2013)
RR
Colorado(9/3/2013)
RR
Connecticut(9/3/2013)
IAR
Connecticut(6/29/2023)
RR
Florida(9/3/2013)
RR
Georgia(3/14/2023)
RR
Maine(9/3/2013)
RR
Maryland(9/3/2013)
RR
Massachusetts(9/3/2013)
RR
Michigan(9/3/2013)
RR
New Hampshire(9/3/2013)
RR
New Jersey(9/3/2013)
RR
New Mexico(1/24/2025)
RR
New York(9/3/2013)
RR
North Carolina(9/3/2013)
RR
Ohio(9/3/2013)
RR
Oklahoma(9/3/2013)
RR
Oregon(2/11/2022)
RR
Pennsylvania(9/3/2013)
RR
Rhode Island(1/2/2019)
RR
South Carolina(8/5/2022)
RR
Utah(3/27/2023)
RR
Vermont(9/3/2013)
RR
Virginia(9/3/2013)
RR
Washington(9/3/2013)
RR
West Virginia(9/3/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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.
