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

KATHERINE JANE PHILLIPS

Advisor at OSAIC WEALTH, INC.

Bellevue, WA | MIDWAY, UT

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Search this name across graphsid dfx:ria:941027fa-3354-3c0a-6674-5b4804e2131e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 24, 2012 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: Mar 26, 2012earliest 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: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Mar 26, 2012
First registration: Sep 24, 2012
Dual registered: yes, broker-dealer
Other names: KATHERINE JANE COGDILL|KATHERINE COGDILL|KATHERINE JANE DREW|KATHERINE DREW
IAPD individual key: 5912756

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	MIDWAY, UT\|Bellevue, WA	Current employment
OSAIC FA, INC.	Former SEC adviser	Dec 7, 2020	Jan 24, 2025	no	KIRKLAND, WA	Previous registration
CONFLUENCE WEALTH MANAGEMENT LLC	Former SEC adviser	Aug 9, 2019	Dec 23, 2020	no	PORTLAND, OR	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2014	Apr 3, 2019	no	VANCOUVER, WA\|PORTLAND, OR	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 24, 2012	Jan 10, 2014	no	PORTLAND, OR\|PORTLAND, OR	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
CONFLUENCE WEALTH MANAGEMENT LLC	OSAIC FA, INC.	Dec 23, 2020	Dec 7, 2020	-16	Firm change	RIA to ibd
WELLS FARGO ADVISORS	CONFLUENCE WEALTH MANAGEMENT LLC	Apr 3, 2019	Aug 9, 2019	128	Firm change	Wirehouse to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Jan 10, 2014	May 13, 2014	123	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Dec 7, 2020 to Jan 24, 2025factForm ADV
→ CONFLUENCE WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Aug 9, 2019 to Dec 23, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2014 to Apr 3, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 24, 2012 to Jan 10, 2014factForm ADV

Dated events

No dated event names this entity yet.