Kay Marie Anderson

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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AUSDAL FINANCIAL PARTNERS, INC.

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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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Credentials

CFP®

Certified Financial PlannerSince 2016

Years of Experience

14 years registered in the securities industry

Current & Past Employments

Current

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

9601 Tamiami Trail North, Naples, FL 34108

November 3, 2023 - Present

OSAIC WEALTH, INC.Current·CRD# 23131

RIA

BD

9601 Tamiami Trail North, Naples, FL 34108

November 3, 2023 - Present

Past

FSC SECURITIES CORPORATIONPast·CRD# 7461

RIA

Naples, FL

June 19, 2013 - November 3, 2023

FSC SECURITIES CORPORATIONPast·CRD# 7461

BD

Naples, FL

December 19, 2012 - November 3, 2023

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AUSDAL FINANCIAL PARTNERS, INC.

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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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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. SPERLONGA PROPERTIES, LLC POSITION: Member NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2020 ADDRESS: 285 Grande Way, 1202, Naples FL 34110 DESCRIPTION: Real Estate Rental Property Owner 2. NOTARY PUBLIC POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: 19670 Villa Rosa Loop, Estero FL 32967, United States DESCRIPTION: Acknowledging execution of documents by signer to ensure signer understands content and purpose of document, confirm they are signing willingly and own signature. 3. CAS ADVISORY MANAGEMENT, LLC POSITION: Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2021 ADDRESS: 9601 Tamiami Trail N, Naples FL 34108 DESCRIPTION: Partner 4. THE SHELTER FOR ABUSED WOMEN & CHILDREN POSITION: Board of Directors member & Secretary NATURE: Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2020 ADDRESS: PO Box 10102, Naples FL 34102 DESCRIPTION: Serve as a member of the Board of Directors for the Shelter 5. THE SHELTER FOR ABUSED WOMEN & CHILDREN POSITION: Treasurer & Executive Committee Member NATURE: Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2025 ADDRESS: PO Box 10102, Naples FL 34101 DESCRIPTION: Serve as treasurer and member of the Executive Committee. Meet monthly with the Committee to review an overview of the organization and report from the CEO 6. THE SHELTER FOR ABUSED WOMEN & CHILDREN POSITION: Board of Directors member NATURE: Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2020 ADDRESS: PO Box 10102, Naples FL 34102 DESCRIPTION: Serve as a member of the Board of Directors for the Shelter. Participate in board meetings and updates from the CEO/committee leaders. 7. THE SHELTER FOR ABUSED WOMEN AND CHILDREN POSITION: Chair of Finance Committee NATURE: Charitable Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 07/01/2025 ADDRESS: PO Box 10102, Naples FL 34101 DESCRIPTION: Serve as chair of the finance committee - lead monthly meetings, review financial reports and budgets for the charity. 8. CICCARELLI ADVISORY SERVICES, INC POSITION: Registered with corporate RIA to hold series 66, but do not have clients under my rep code, i do not make recommendations, function as administrative support staff. NATURE: Registered Investment Adviser - INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 11/10/2005 ADDRESS: 9601 Tamiami Trail N, Naples FL 34108, United States DESCRIPTION: Assisting the Financial Advisors with client financial planning at the investment advisory firm CAS.

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AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · 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

Florida
(11/3/2023)

IAR

Florida
(11/3/2023)

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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ESTERO, FL · CRD#

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Kay Marie Anderson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kay Marie Anderson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Similar Advisors

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#

INTEGRATED ADVISORS NETWORK LLC

Naples, FL · CRD#