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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

KATHRYN SHEA HENNINGSEN

Advisor at OSAIC WEALTH, INC.

Bellevue, WA | Clyde Hill, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 8, 2006 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: Apr 7, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Apr 7, 2006
First registration: May 8, 2006
Dual registered: yes, broker-dealer
Other names: KATHRYN DERENNE SHEA|KATHY SHEA|KATHY HENNINGSEN
IAPD individual key: 1351560

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	Jun 14, 2024	n/a	yes	Clyde Hill, WA\|Bellevue, WA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 6, 2020	Jun 14, 2024	no	BELLEVUE, WA	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Feb 9, 2015	Nov 6, 2020	no	CLYDE HILL, WA\|Bellevue, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
AVIER WEALTH ADVISORS	Independent wealth	Apr 16, 2012	Jan 23, 2015	no	BELLEVUE, WA	Previous registration
RETIREMENT ASSET MANAGEMENT, LLC	Former SEC adviser	Oct 30, 2006	Jun 28, 2012	no	BELLEVUE, WA\|BELLEVUE, WA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	May 8, 2006	Nov 2, 2006	no	BELLEVUE, WA	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
SECURITIES AMERICA ADVISORS, INC.	OSAIC WEALTH, INC.	Jun 14, 2024	Jun 14, 2024	0	Bulk transfer	Ibd to ibd
KMS FINANCIAL SERVICES, INC	SECURITIES AMERICA ADVISORS, INC.	Nov 6, 2020	Nov 6, 2020	0	Bulk transfer	Ibd to ibd
AVIER WEALTH ADVISORS	KMS FINANCIAL SERVICES, INC	Jan 23, 2015	Feb 9, 2015	17	Firm change	Other
RETIREMENT ASSET MANAGEMENT, LLC	AVIER WEALTH ADVISORS	Jun 28, 2012	Apr 16, 2012	-73	Firm change after gap	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RETIREMENT ASSET MANAGEMENT, LLC	Nov 2, 2006	Oct 30, 2006	-3	Firm change	Other

Relationships

Registered with (6)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jun 14, 2024 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 6, 2020 to Jun 14, 2024factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Feb 9, 2015 to Nov 6, 2020factForm ADV
→ AVIER WEALTH ADVISORSRegistered adviserregistration: previous registration
Apr 16, 2012 to Jan 23, 2015factForm ADV
→ RETIREMENT ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 30, 2006 to Jun 28, 2012factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 8, 2006 to Nov 2, 2006factForm ADV

Dated events

No dated event names this entity yet.