KC
Kathleen A. Carringer
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CRD#: 2487814
KC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathleen Anne Carringer, who also goes by Kathleen Anne Elsmore, Kathleen Anne Wright, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1994. Kathleen had worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 14, Series 53, Series 8, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Anne Elsmore | Kathleen Anne Wright
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 12, 2017 - March 24, 2023
OSAIC FA, INC.
RIA
CRD#: 3978
HOUSTON, TX
Past
July 12, 2017 - March 24, 2023
OSAIC FA, INC.
BD
CRD#: 3978
HOUSTON, TX
Past
July 22, 2014 - June 23, 2017
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
DALLAS, TX
Past
July 22, 2014 - June 23, 2017
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
DALLAS, TX
Past
December 13, 2011 - July 17, 2014
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
October 11, 2011 - July 17, 2014
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
DALLAS, TX
Past
September 28, 2011 - July 16, 2014
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
DALLAS, TX
Past
September 28, 2011 - July 16, 2014
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
February 15, 2011 - October 7, 2011
BRENNAN WEALTH ADVISORS, LLC
RIA
CRD#: 153001
DALLAS, TX
Past
February 9, 2010 - December 31, 2010
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ADDISON, TX
Past
August 20, 2004 - October 3, 2011
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ADDISON, TX
Past
March 15, 2004 - July 20, 2004
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
IRVING, TX
Past
March 12, 2004 - July 20, 2004
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
June 24, 2003 - November 25, 2003
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
November 24, 2000 - June 9, 2003
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
OVERLAND PARK, KS
Past
June 9, 1997 - June 9, 2003
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
October 4, 1995 - June 18, 1997
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
June 22, 1994 - September 18, 1995
PRIME INVESTORS, INC.
BD
CRD#: 24509
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OSAIC FA, INC.
A LIFE WELL SPENT | JMG AND ASSOCIATES | JAMES KUEKAN INSURANCE AND FINANCIAL PLANNING | JAKE JACKLICH FINANCIAL PLANNING | J.F.C. | IRON LEGACY WEALTH ADVISORS | INTENTIONAL ADVISORS | INTEGRITY FINANCIAL PLANNING | INTEGRATED WEALTH MANAGMENT | INTEGRATED FINANCIAL PARTNERS, INC. | INSPIRE FINANCE DSM | INPOWER YOUR FUTURE | INGLESIDE FINANCIAL GROUP | INDEPENDENT PHARMACY CONSULTING GROUP | IMPACT FINANCIAL PLANNING | HOROWITZ ASSOCIATES | HOLDING WEALTH MANAGEMENT | HINSON WEALTH MANAGEMENT GROUP | HILDENE FINANCIAL GROUP | HERITAGE FINANCIAL CONSULTANTS, LLC | HENRY G. MAUTNER & ASSOCIATES | HENDRIXSON PINOLA FINANCIAL SERVICES | HAWTHORN WEALTH MANAGEMENT | HAWTHORN INVESTMENT CENTER | HARTFIELD ADVISORS INC. | HACKETT WEALTH MANAGEMENT | GWYNN, MOORE, & ASSOCIATES, INC. | GROSSMAN FINANCIAL PLANNING GROUP | GREGORY & ASSOCIATES | GRECO-NADER WEALTH NAVIGATION | GRANITE CAPITAL MANAGEMENT | GRAEF FINANCIAL GROUP | GPS FINANCIAL PLANNING | GPS FINANCIAL PLANNIN | GO STRATEGIC ADVISORY | GO FOR ANSWERS | GIST WEALTH MANAGEMENT | GERNON, MUTH & ASSOCIATES | GENERATION CAPITAL GROUP | GANNETT PEAK WEALTH STRATEGIES | GAME PLAN RETIREMENT | G.S.W. WEALTH MANAGEMENT | FUSION WEALTH ADVISORS | FROST FINANCIAL | FRIEL ASSOCIATES | FREEDOM PLANNING & WEALTH ADVISORS | FREEDOM FINANCIAL SOLUTIONS LLC | FREEDOM FINANCIAL GROUP | FOUNTAIN CITY FINANCIAL LLC | FORTRESS WEALTH & RETIREMENT | FIRST WESTROADS INVESTMENT CENTRE | FIRST FINANCIAL GROUP OF THE SOUTH, INC. | FIRST FINANCIAL GROUP OF THE SOUTH WEALTH MANAGEMENT | FIRST FINANCIAL GROUP OF THE SOUTH | FINTURITY | FINANCIAL STRATEGIES CORPORATION | FINANCIAL FITNESS ADVISORS | FINANCIAL EDGE | FINANCIAL CENTER FOR WOMEN | FARM LEGACY ADVISORS | FAMILYWEALTH MANAGEMENT GROUP, LLC | FAMILY, WEALTH & LEGACY, LLC | FAMILY WEALTH DECISIONS GROUP | FAMILY WEALTH & LEGACY | FALK FINANCIAL | FAIRVIEW FINANCIAL ADVISORS | FAIR HAVEN FINANCIAL PLANNING | EXECUTIVE WEALTH PARTNERS | EVERGREEN RETIREMENT SERVICES | ESTATE & LEGACY FINANCIAL SOLUTIONS | EQUITY STRATEGIES GROUP | EQUANIMITY WEALTH PLANNING AND INVESTING | ENVISION WEALTH MANAGEMENT | ELS VISION WEALTH MANAGEMENT | ELEVATE360 WEALTH SOLUTIONS | ELEVATE360 WEALTH | ECONOMIC PLANNING GROUP | EASTBURN & ASSOCIATES WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DRISCOLL WEALTH MANAGEMENT | DOVER FINANCIAL PLANNING | DOUGHERTY & ASSOCIATES | DL VENN FINANCIAL SERVICES | DIERKS FINANCIAL | DEROSE FINANCIAL PLANNING GROUP | DENALI WEALTH MANAGEMENT | DELPHI WEALTH MANAGEMENT GROUP | DEL-ONE FEDERAL CREDIT UNION | CUSTER BURISH FINANCIAL SERVICES | CRF WEALTH ADVISORS, LLC | CRESCENDO WEALTH STRATEGIES | CREATIVE WEALTH STRATEGIES | CORNERSTONE FINANCIAL PARTNERS | CONTINUUM CONSULTING GROUP | CONSTRUCTION PLANNING GROUP | CLEVELAND FINANCIAL GROUP | CLEARVIEW FINANCIAL ADVISORS | CLAUSING FINANCIAL GROUP | CHRISTIAN LAVER & ASSOCIATES | CHARTER OAK WEALTH PARTNERS | CHARTER FINANCIAL GROUP | CHARPENTIER WEALTH STRATEGIES | CHAMBERS WEALTH MANAGEMENT SERVICES | CAWLEY WEALTH MANAGEMENT | CARRIAGE TRADE FINANCIAL SERVICES | CAPITAL WEALTH MANAGEMENT, LLC | CAPITAL CONFIDENCE ADVISORS | CAPITAL ACCOUNTS | C SOLUTIONS | BYRON YOUNG & ASSOCIATES, LLC | BUSSA FINANCIAL PARTNERS | BUSINESS TRANSFER CONSULTANTS | BULMAN FINANCIAL | BRIDGES WEALTH STRATEGIES | BREZDEN WEALTH ADVISORS | BOTTOMS FINANCIAL | BOLD VALUE | BLOCK CAPITAL ADVISORS SERVICES | BENTON & COMPANY | BENEFITS PLUS CONSULTING GROUP INC. | BELAY WEALTH PARTNERS | BATEMAN & CO. | BARRETT FINANCIAL | BAILEY WEALTH ADVISORS | ATLAS FINANCIAL | ATHENA WEALTH STRATEGIES | ASTYR WEALTH | ASCEND WEALTH PARTNERS, LLC | ASCEND WEALTH MANAGEMENT | ARTER FINANCIAL STRATEGIES | ARLEN FINANCIAL | ARISE WEALTH STRATEGIES | AMON & ASSOCIATES | AMERICAN BENEFIT CONSULTANTS, INC. | AINLEY FINANCIAL GROUP | AGRIBUSINESS SUCCESSION ADVISORS | AEVIDUM FINANCIAL SERVICES | AEGIS FINANCIAL PARTNERS | ADVANCED PLANNING GROUP OF NEW YORK | ACTUARIAL WEALTH MANAGEMENT | ACRE EQUITY ADVISORS | ACOSTA WEALTH MANAGEMENT | ACORD & FONG WEALTH STRATEGIES | ACCESS ADVISORS, LLC | ACADEMY FINANCIAL, INC. | ABIKUS WEALTH MANAGEMENT, LLC...
CRD#: 3978 / SEC#: 801-42530, 8-14685
BD
Terminated by SEC on 03/30/2025
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Contact information
Main Address
1301 South Harrison Street, Fort Wayne, IN 46802
Mailing Address
P.o. Box 2239, Fort Wayne, IN 46801-2239
Phone number
(800) 237-3813
Established
Indiana since 10/08/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
1,607
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | SHAREHOLDER | |
| BONISTEEL, TIMOTHY DAVID | ASSISTANT VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4943070 |
| CAMPBELL, CLAUDE A. | ASSISTANT VICE PRESIDENT AND AML OFFICER | 5342571 |
| CORNICK, GREGORY ALLEN | CHAIRMAN AND DIRECTOR | 3132991 |
| DIMONDA, JOHN ROBERT | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1805436 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINOP AND TREASURER | 5675524 |
| SHEFTIC, JEFFREY JUDE | VICE PRESIDENT, CHIEF OPERATIONS OFFICER | 1881657 |
| WALTERS, EDWARD NIGEL | SENIOR VICE PRESIDENT | 2391434 |
Regulatory assets under management
| Total Number of Accounts | 103,063 |
| AUM (Assets Under Management) | $ 37,133,957,466 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/26/2023 | ||
| 11/21/2022 |
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.
