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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

KATHRYN A ZIMMERMAN

Advisor at OSAIC WEALTH, INC.

SALEM, NH | Smithfield, RI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 21, 2013 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: Dec 19, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S63|S66
First exam: Dec 19, 2002
First registration: Feb 21, 2013
Dual registered: yes, broker-dealer
Other names: KATHRYN GAZZARA|KATE LYTLE|KATHRYN A GAZZARA|KATHRYN A LYTLE|KATHRYN A GAZZARA
IAPD individual key: 4244367

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	Aug 4, 2023	n/a	yes	SALEM, NH\|Smithfield, RI	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Mar 1, 2018	Aug 4, 2023	no	Smithfield, RI\|Smithfield, RI\|Smithfield, RI	Previous registration
ASSET STRATEGY ADVISORS, LLC	Mixed wealth	May 20, 2015	Jan 26, 2018	no	WAYLAND, MA	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jan 23, 2014	Apr 29, 2015	no	PROVIDENCE, RI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 21, 2013	Oct 29, 2013	no	WELLESLEY HILLS, MA\|CAMBRIDGE, MA\|NEWTON, MA\|WELLESLEY HILLS, MA\|NEWTON, MA\|BURLINGTON, MA	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	OSAIC WEALTH, INC.	Aug 4, 2023	Aug 4, 2023	0	Firm change	Ibd to ibd
ASSET STRATEGY ADVISORS, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Jan 26, 2018	Mar 1, 2018	34	Firm change	Other
ADVICE AND PLANNING SERVICES	ASSET STRATEGY ADVISORS, LLC	Apr 29, 2015	May 20, 2015	21	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Oct 29, 2013	Jan 23, 2014	86	Firm change	Other

Relationships

Registered with (5)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Aug 4, 2023 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 1, 2018 to Aug 4, 2023factForm ADV
→ ASSET STRATEGY ADVISORS, LLCRegistered adviserregistration: previous registration
May 20, 2015 to Jan 26, 2018factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Jan 23, 2014 to Apr 29, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 21, 2013 to Oct 29, 2013factForm ADV

Dated events

Occurred
Aug 4, 2023
Advisor changed firm
Kathryn A Zimmerman left Cambridge Investment Research Advisors, Inc. for Osaic Wealth, Inc. (registered 2023-08-04)
Form ADVobserved 3 days ago