KB
Kathryn E. Bierschwale
OSAIC INSTITUTIONS
Houston, TX 77079
Some features on this profile are disabled
CRD#: 5803925
KB
Professional summary
Kathryn E Bierschwale, AIF®, who also goes by Kathryn E Bierschwale, Kate Bierschwale, Kathryn Durbin, Kathryn E Durbin Earley, Kathryn Elizabeth Durbin Earley, Kathryn Elizabeth Earley, Kathryn Korthals, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Houston, Texas.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kathryn has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathryn E Bierschwale | Kate Bierschwale | Kathryn Durbin | Kathryn E Durbin Earley | Kathryn Elizabeth Durbin Earley | Kathryn Elizabeth Earley | Kathryn Korthals
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.
Fixed insurance: Investment Related; Spring, TX; Agent; Life, Annuities, LTC, DI, Med Supps, Group; Start Date: 01/15/2020; 10 hrs per month; 10 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn E Bierschwale's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathryn E Bierschwale'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®
Experience
Current
May 19, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 11757 Katy Freeway, Suite 100, Houston, TX 77079Office #2: 1965 S Loop 336 W, Conroe, TX 77304Office #3: 819 Rollingbrook Street, Baytown, TX 77521RIA
BD
CRD#: 35371
Houston, TX
Current
May 19, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 11757 Katy Freeway, Suite 100, Houston, TX 77079Office #2: 1965 S Loop 336 W, Conroe, TX 77304Office #3: 819 Rollingbrook Street, Baytown, TX 77521RIA
BD
CRD#: 35371
Houston, TX
Past
November 14, 2024 - May 23, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
HOUSTON, TX
Past
November 14, 2024 - May 23, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
HOUSTON, TX
Past
September 13, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
September 13, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
September 16, 2021 - September 24, 2024
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
HOUSTON, TX
Past
May 12, 2021 - September 24, 2024
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
HOUSTON, TX
Past
January 1, 2021 - April 21, 2021
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
HOUSTON, TX
Past
July 15, 2011 - February 8, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
AUSTIN, TX
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston 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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(5/19/2025)
IAR
Texas(5/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/28/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
