Kathryn J. Oswald

STRATEGIC BLUEPRINT

Wilmington , NC 28403

Some features on this profile are disabled

CRD#: 4351886

Professional summary

Kathryn Joan Oswald, CFP®, who also goes by Kathryn J Legan, Kathy Jo Legan, Kathryn J Oswald, Kathy Legan Oswald, is a registered financial advisor currently at STRATEGIC BLUEPRINT, LLC located in Wilmington , North Carolina and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Wilmington , North Carolina.

Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kathryn has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathryn J Legan | Kathy Jo Legan | Kathryn J Oswald | Kathy Legan Oswald

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)The Wealth Plan Company;investment related;398 Carl Street,Unit 101,Wilmington,NC 28403;dba;wealth advisor;7/2/2018;180 hrs/month;6.5 hrs during trading;client financial planning,investment management and marketing to prospective clients 2)LEGAN WEALTH MANAGEMENT,LLC;INVESTMENT RELATED;715 WILKINSON STREET;DBA;OWNER;11/25/2008;0 HRS/MONTH;0 HRS DURING TRADING;DBA THROUGH WHICH I FILE MY TAXES 3)398 Carl,LLC;not investment related;398 Carl Street,#101,Wilmington,NC 28403;real estate owner;member;less than 1 hour/month;minimal hours during trading;member

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Joan Oswald's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2014

Experience

Current

February 12, 2025 - Present

STRATEGIC BLUEPRINT, LLC

Office #1: 398 Carl Street Unit 101, Wilmington , NC 28403

RIA

CRD#: 284840

Wilmington , NC

Current

February 12, 2025 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 398 Carl Street Unit 101, Wilmington , NC 28403

RIA

CRD#: 126514

Wilmington , NC

Past

August 23, 2024 - February 12, 2025

OSAIC WEALTH, INC.

CRD#: 23131

Wilmington, NC

Past

November 18, 2014 - February 12, 2025

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

Wilmington, NC

Past

November 18, 2014 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

ATLANTA, GA

Past

November 26, 2008 - November 17, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

SHREVEPORT, LA

Past

November 26, 2008 - November 17, 2014

LPL FINANCIAL LLC

CRD#: 6413

SHREVEPORT, LA

Past

January 19, 2007 - November 6, 2008

EDWARD JONES

RIA

CRD#: 250

WILMINGTON, NC

Past

August 23, 2001 - November 6, 2008

EDWARD JONES

CRD#: 250

WILMINGTON, NC

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".

STRATEGIC BLUEPRINT, LLC

CRD#: 284840 / SEC#: 801-108531

RIA

Registered Investment Advisory firm - (10/28/2016 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.

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

Arkansas
(2/12/2025)

California
(2/12/2025)

Georgia
(2/12/2025)

Louisiana
(2/12/2025)

Missouri
(2/12/2025)

Nevada
(2/12/2025)

IAR

North Carolina
(2/12/2025)

North Carolina
(2/14/2025)

South Carolina
(2/12/2025)

Texas
(2/12/2025)

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

State Security Law Exam

IAR

Series 66

Date: 12/29/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/19/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STRATEGIC BLUEPRINT, LLC

CRD#: 284840 / SEC#: 801-108531

RIA

Registered Investment Advisory firm - (10/28/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2200 Century Parkway Suite 500, Atlanta, GA 30345

Mailing Address

Phone number

(678) 954-4130

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STATEGIC BLUEPRINT DISCLOSURE BROCHURE (5/21/2025)

FAMILY OFFICES SERVICES (3/28/2025)

STRATEGIC BLUEPRINT ADVISOR DIRECTED ACCOUNT PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	9,067
AUM (Assets Under Management)	$ 2,671,662,109

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.

Similar Advisors

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

John Stoj

XYPN INVEST

IAR

Atlanta, GA

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathryn J. Oswald

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Joan Oswald's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE STRATEGIC FINANCIAL ALLIANCE, INC.

OSAIC WEALTH, INC.

OSAIC ADVISORY SERVICES, LLC

TRIAD ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

STRATEGIC BLUEPRINT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2006

Series 63

Date: 12/19/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/22/2001

FINRA

Current Firm

STRATEGIC BLUEPRINT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC BLUEPRINT, LLC

TRUST BUT VERIFY

Similar Advisors