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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

KATHRYN VIRGINIA BROY

Advisor at OSAIC WEALTH, INC.

Marlborough, MA | BOSTON, MA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 20, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Oct 20, 2011
First registration: Dec 20, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5932805

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 24, 2025	n/a	yes	Marlborough, MA\|BOSTON, MA	Current employment
OSAIC FA, INC.	Former SEC adviser	Jul 16, 2015	Jan 24, 2025	no	BOSTON, MA	Previous registration
EMPOWERED RETIREMENT, INC.	State registered	Nov 19, 2013	May 12, 2014	no	ROSELAND, NJ	Previous registration
TROVENA, LLC.	Former SEC adviser	Dec 20, 2011	Dec 31, 2013	no	LINCOLN PARK, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
EMPOWERED RETIREMENT, INC.	OSAIC FA, INC.	May 12, 2014	Jul 16, 2015	430	Firm change after gap	Other
TROVENA, LLC.	EMPOWERED RETIREMENT, INC.	Dec 31, 2013	Nov 19, 2013	-42	Firm change after gap	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jul 16, 2015 to Jan 24, 2025factForm ADV
→ EMPOWERED RETIREMENT, INC.Registered adviserregistration: previous registration
Nov 19, 2013 to May 12, 2014factForm ADV
→ TROVENA, LLC.Registered adviserregistration: previous registration
Dec 20, 2011 to Dec 31, 2013factForm ADV

Dated events

No dated event names this entity yet.