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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

KATHRYN BIERSCHWALE

Advisor at OSAIC INSTITUTIONS, INC.

Baytown, TX | Houston, TX | Conroe, TX

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Search this name across graphsid dfx:ria:3afc2ce4-9af2-2728-754a-5bbefb019178

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Sep 16, 2021 to Sep 15, 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 INSTITUTIONS, 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: Nov 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Apr 3, 2021
First registration: Sep 16, 2021
Dual registered: yes, broker-dealer
Other names: KATHRYN DURBIN|KATHRYN KORTHALS|KATHRYN ELIZABETH EARLEY|KATHRYN ELIZABETH DURBIN EARLEY|KATHRYN E DURBIN EARLEY|KATHRYN E BIERSCHWALE|Kate Bierschwale
IAPD individual key: 5803925

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 INSTITUTIONS, INC.	Bd affiliated wealth	May 19, 2025	n/a	yes	Houston, TX\|Baytown, TX\|Conroe, TX	Current employment
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	May 23, 2025	no	HOUSTON, TX\|CONROE, TX	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 13, 2024	Nov 14, 2024	no	Conroe, TX\|HOUSTON, TX	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Sep 16, 2021	Sep 24, 2024	no	HOUSTON, TX\|CONROE, TX	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
LPL ENTERPRISE, LLC	OSAIC INSTITUTIONS, INC.	May 23, 2025	May 19, 2025	-4	Firm change	Ibd to ibd
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
PRINCIPAL SECURITIES, INC.	PRUCO SECURITIES, LLC	Sep 24, 2024	Sep 13, 2024	-11	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ OSAIC INSTITUTIONS, INC.Registered adviserregistration: current employment
May 19, 2025 to presentfactForm ADV
→ LPL ENTERPRISE, LLCRegistered adviserregistration: previous registration
Nov 14, 2024 to May 23, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 13, 2024 to Nov 14, 2024factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Sep 16, 2021 to Sep 24, 2024factForm ADV

Dated events

Occurred
May 23, 2025
Advisor changed firm
Kathryn Bierschwale left Lpl Enterprise, Llc for Osaic Institutions, Inc. (registered 2025-05-19)
Form ADVobserved 5 days ago
Occurred
Sep 24, 2024
Advisor changed firm
Kathryn Bierschwale left Principal Securities, Inc. for Pruco Securities, Llc (registered 2024-09-13)
Form ADVobserved 5 days ago