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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)15 years in industry

KATE TASTROM

Advisor at OSAIC WEALTH, INC.

Shoreham, NY | Mt Sinai, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a54282fe-6650-70c9-fe27-aeafd24022fb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2011 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 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: Jun 17, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jun 17, 2011
First registration: Jun 20, 2011
Dual registered: yes, broker-dealer
Other names: KATE TONETTI|KATE TONETTI
IAPD individual key: 5423099

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	Oct 24, 2017	n/a	yes	Shoreham, NY\|Mt Sinai, NY	Current employment
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Jan 5, 2015	Dec 31, 2015	no	East Setauket, NY\|East Setauket, NY\|HAUPPAUGE, NY	Previous registration
TIMECAPITAL INVESTOR ADVISORY SERVICES INC	Independent wealth	Jul 3, 2014	Jan 5, 2015	no	PORT JEFFERSON STATION, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Jun 20, 2011	Jul 10, 2012	no	NEW YORK, NY	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
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	OSAIC WEALTH, INC.	Dec 31, 2015	Oct 24, 2017	663	Firm change after gap	Other
TIMECAPITAL INVESTOR ADVISORY SERVICES INC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Jan 5, 2015	Jan 5, 2015	0	Firm change	Other
NEUBERGER BERMAN BD LLC	TIMECAPITAL INVESTOR ADVISORY SERVICES INC	Jul 10, 2012	Jul 3, 2014	723	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
105672:29604:NY:2015-01-05	Jan 5, 2015	Jan 5, 2015	PORT JEFFERSON STATION, NY	Firm change

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Oct 24, 2017 to presentfactForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Jan 5, 2015 to Dec 31, 2015factForm ADV
→ TIMECAPITAL INVESTOR ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jul 3, 2014 to Jan 5, 2015factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Jun 20, 2011 to Jul 10, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a54282fe-6650-70c9-fe27-aeafd24022fb
First observed: Jun 20, 2011
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

KATE TASTROM

Advisor at OSAIC WEALTH, INC.

Shoreham, NY | Mt Sinai, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a54282fe-6650-70c9-fe27-aeafd24022fb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

OSAIC WEALTH, INC.

Bd affiliated wealth

Oct 24, 2017

n/a

yes

Shoreham, NY|Mt Sinai, NY

Current employment

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Former SEC adviser

Jan 5, 2015

Dec 31, 2015

East Setauket, NY|East Setauket, NY|HAUPPAUGE, NY

Previous registration

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

Independent wealth

Jul 3, 2014

Jan 5, 2015

PORT JEFFERSON STATION, NY

Previous registration

NEUBERGER BERMAN BD LLC

No RAUM reported

Jun 20, 2011

Jul 10, 2012

NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

OSAIC WEALTH, INC.

Dec 31, 2015

Oct 24, 2017

663

Firm change after gap

Other

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)

Jan 5, 2015

Firm change

Other

NEUBERGER BERMAN BD LLC

TIMECAPITAL INVESTOR ADVISORY SERVICES INC

Jul 10, 2012

Jul 3, 2014

723

Firm change after gap

Other

Team

Left

Joined

From

Kind

105672:29604:NY:2015-01-05

Jan 5, 2015

PORT JEFFERSON STATION, NY

Firm change