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Kathleen Ann Kennicott

Advisor at OSAIC — Dysart, IA

Updated today

Credentials

Series 63, Series 65

Experience

29 years

Location

Dysart, IA 52224

OSAIC logo

OSAIC

Institution

Total advisors

7,833

Across 3,555 offices

Clients per advisor

73 Low

Avg AUM per client

$398,336 Typical

HNW client ratio

10% Low

About

Kathleen Kennicott is a financial advisor with Osaic Wealth, Inc., holding Series 63 and Series 65 credentials and bringing 29 years of industry experience. She previously worked at Woodbury Financial Services Inc. for seven years and SII Investments, Inc. for fourteen years. She also owns a business entity through which she employs a personal assistant. Osaic Wealth, Inc. serves a diverse client base including individuals, high-net-worth investors, pension plans, corporations, and charitable organizations. The firm offers integrated brokerage and advisory services and utilizes various asset-allocation tools and third-party management solutions to construct and manage portfolios across multiple investment types.

Client services

Based on OSAIC

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Based on OSAIC

Annuities Wealth management Tax-loss harvesting Private / alternative investments Retirement plans for business owners (SEP, solo 401k)

Occupation focus

Based on OSAIC

Founder/Business Owner Executive

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Fee options

Fixed

Fixed or flat fees for financial planning and consulting services generally range up to $25,000, fixed fees for Non-Discretionary Investment Advisory Services range from $500 - $15,000.

Commissions

Advisory Representatives also receive commissions for brokerage and insurance products sold through Osaic Wealth as a broker-dealer.

Project-based

Hourly fees generally range from $0 - $750 per hour for financial planning and consulting, and $50 - $750 per hour for Non-Discretionary Investment Advisory Services.

Other

Account minimum: $5,500 Fee-only: Hourly fees for financial planning or consulting services generally range from $0 - $750 per hour, not exceeding $25,000 total fees. Fixed or flat fees for financial planning and consulting generally range up to $25,000, and fixed fees for Non-Discretionary Investment Advisory Services range from $500 - $15,000, hourly fees $50 - $750 per hour.

Location

See office

Dysart, IA

314 Main Street

Dysart IA 52224

Advisors at this office

1

Most active in

Iowa

Work history

29 years of industry experience

OSAIC

2024 - Present • 2 years

Waterloo, IA

Woodbury Financial Services Inc

2017 - 2024 • 7 years

Jesup, IA

SII Investments, Inc.

2003 - 2017 • 14 years

Jesup, IA

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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Scott W

Series 66

La Porte City, IA

Principal Financial Services

Scott Wandschneider is a financial advisor with Principal Financial Services, holding a Series 66 designation and 25 years of industry experience. He has worked with Principal Securities Inc. since 2016 and has been associated with Principal Life Insurance Company since 1996. Outside of his advisory role, he is a part owner of farmland, which is not active during trading hours. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and charitable organizations. The firm offers financial planning, retirement plan consulting, and access to third-party money manager programs under various advisory and promoter arrangements.

Retired Founder/Business Owner
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Todd R

CFP®, Series 63

Van Horne, IA

Cambridge Investment Research Advisors

Todd Rausch is a financial advisor with Cambridge Investment Research Advisors and holds the CFP® designation along with a Series 63 license. He has 21 years of industry experience and has worked at Cambridge Investment Research Advisors since 2020 and at Voya Financial Advisors from 2014 to 2020. Outside of advising, he serves on the Planned Giving Committee at Kirkwood Community College. Cambridge Investment Research Advisors is a large SEC-registered firm serving a diverse clientele, including individuals, pension plans, charitable organizations, and retirement-plan sponsors. The firm offers a range of financial planning and investment management services through a network of independent professionals and employs multiple custody arrangements and proprietary model strategies alongside access to unaffiliated managers.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Jeffrey P

Series 63, Series 65

Vinton, IA

Cambridge Investment Research Advisors

Jeffrey Peterson is a financial advisor with Cambridge Investment Research Advisors who holds Series 63 and Series 65 credentials and has 21 years of industry experience. He has been with Cambridge Investment Research Advisors and its related entities since 2018 and previously worked at Farmers Savings Bank for 12 years. Peterson is the owner of Stoney Arch Financial, an independent financial firm based in Vinton, Iowa. Cambridge Investment Research Advisors is a large SEC-registered adviser serving a diverse client base including individuals, pension plans, charities, trusts, and retirement-plan sponsors. The firm offers a range of financial planning and investment management services through independent financial professionals, utilizing various platform arrangements and proprietary and third-party model strategies tailored to client objectives.

Wealth management Retirement plans for business owners (SEP, solo 401k) Retirement income strategy Annuities Self-Employed
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Patrick G

Series 63, Series 65

Van Horne, IA

LPL Financial

Patrick Gorkow Sr. is a financial advisor with LPL Financial holding Series 63 and Series 65 licenses and over 33 years of industry experience. His prior roles include positions at Securities America Advisors, VOYA Financial Advisors, and Ameriprise. Outside of his advisory work, he serves as the mayor of Van Horne, Iowa. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolios, third-party asset management, and institutional platforms.

Wealth management Retirement income strategy College savings (529s, UTMA, etc.) Tax-loss harvesting Annuities Retired Founder/Business Owner Executive
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