KOswald_web

Kathy Oswald

AAMS® | AWMA® | CFP®
Wealth Advisor

About Kathy

Why I am an advisor

I became an advisor because I wanted to do something where I could make a difference for not only my family, but for many other families as well. After over 15 years in the business, I am still an advisor because I love the planning aspect and the educational part of it. In any given year, the average family will spend more time planning a vacation than they will spend planing their retirement or children’s college education. It’s just not an easy or fun thing to think about. I take a holistic approach to each family’s goals in regards to their finances and incorporate budgeting, risk management, and cash flow into their investment management plan. I specialize in retirement and income planning for pre-retirees and retirees, as well as accumulation and asset protection for high net worth individuals. Since marrying a physician in 2013, I have become acutely aware of some unique needs of this profession and I strive to be the resident expert in financial planning for physicians.

Education & Certifications

  • 2000: Earned her bachelor’s degree from Missouri State University
  • Series 7, 63 and 66 registered with LPL Financial
  • Holds licenses in Life Insurance and Long Term Care
  • Earned her Accredited Asset Management Specialist from the College for Financial Planning
  • Completed the Accredited Wealth Management Advisor from the College for Financial Planning

Career History

Kathy started her career in 2000 as a Fixed Income Marketing specialist with Edward Jones in St. Louis, MO. After four years of educating new Financial Advisors on fixed-income investing and meeting more than 1,000 retired investors across the country, she decided to begin her own practice in Wilmington, NC. In the fall of 2008 she left Edward Jones and started Legan Wealth Management, LLC, and a year later joined the team at Haines Financial, LLC.

Personal Info

Having grown up on a 126-acre beef cattle ranch and crop farm, Kathy grew up with a strong work ethic. She selected her first “stock” at age 13 – a calf named Daisy. Those early lessons in ownership, independence, stewardship, and discipline have played an important pat in shaping her career.

In the spring of 2013, Kathy married the love of her life, Dr. Todd Oswald, and due to his continuing medical training, the couple relocated to Shreveport, Louisiana. Kathy subsequently opened Haines Financial’s first satellite office outside of the Carolinas, and still continues to provide her Wilmington area clients with excellent service and routine client meetings.

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My Team

  • Kathy Oswald

    Lead Advisor

  • Stephanie Carr

    Client Service Specialist

Thank You for the Opportunity.