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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)43 years in industry

KATHLEEN ANN COVEY

Advisor at COVEY & COVEY

Encinitas, CA | San Diego, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 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: COVEY & COVEY
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 2
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Sep 19, 1995
First registration: Jul 8, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 874975

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
COVEY & COVEY	State registered	Jan 7, 2025	n/a	yes	San Diego, CA	Current employment
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Jan 7, 2025	n/a	yes	Encinitas, CA	Current employment
WESTPARK CAPITAL, INC.	Independent wealth	Aug 16, 2016	Feb 6, 2017	no	Irvine, CA	Previous registration
NEWPORT COAST ASSET MANAGEMENT, INC.	Former SEC adviser	Jan 14, 2015	Apr 6, 2015	no	SAN DIEGO, CA	Previous registration
COVEY & COVEY	State registered	Mar 27, 2014	Dec 31, 2016	no	ENCINITAS, CA	Previous registration
COVEY & COVEY	State registered	Feb 18, 2009	Dec 31, 2009	no	ENCINITAS, CA\|ENCINITAS, CA	Previous registration
NEWPORT COAST ASSET MANAGEMENT	Former SEC adviser	Jan 6, 2009	Aug 22, 2016	no	IRVINE, CA\|NEW YORK, NY\|SAN DIEGO, CA\|SAN CLEMENTE, CA	Previous registration
BRECEK & YOUNG ADVISORS, INC.	Former SEC adviser	Oct 1, 2007	Dec 31, 2008	no	SAN DIEGO, CA	Previous registration
COVEY & COVEY	State registered	Jul 8, 1997	Dec 31, 2008	no	SAN DIEGO, CA\|SAN DIEGO, CA	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
WESTPARK CAPITAL, INC.	INDEPENDENT FINANCIAL GROUP, LLC	Feb 6, 2017	Jan 7, 2025	2,892	Firm change after gap	Other
COVEY & COVEY	NEWPORT COAST ASSET MANAGEMENT, INC.	Dec 31, 2016	Jan 14, 2015	-717	Firm change after gap	Other
NEWPORT COAST ASSET MANAGEMENT	COVEY & COVEY	Aug 22, 2016	Feb 18, 2009	-2,742	Firm change after gap	Other
NEWPORT COAST ASSET MANAGEMENT, INC.	WESTPARK CAPITAL, INC.	Apr 6, 2015	Aug 16, 2016	498	Firm change after gap	Other
COVEY & COVEY	BRECEK & YOUNG ADVISORS, INC.	Dec 31, 2008	Oct 1, 2007	-457	Firm change after gap	Other
BRECEK & YOUNG ADVISORS, INC.	NEWPORT COAST ASSET MANAGEMENT	Dec 31, 2008	Jan 6, 2009	6	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
170311:39914:CA:2015-04-06	Apr 6, 2015	Aug 16, 2016	SAN DIEGO, CA	Firm change after gap

Relationships

Registered with (6)

→ COVEY & COVEYRegistered adviserregistration: previous registration
Mar 27, 2014 to Dec 31, 2016factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: current employment
Jan 7, 2025 to presentfactForm ADV
→ WESTPARK CAPITAL, INC.Registered adviserregistration: previous registration
Aug 16, 2016 to Feb 6, 2017factForm ADV
→ NEWPORT COAST ASSET MANAGEMENTRegistered adviserregistration: previous registration
Jan 6, 2009 to Aug 22, 2016factForm ADV
→ NEWPORT COAST ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 14, 2015 to Apr 6, 2015factForm ADV
→ BRECEK & YOUNG ADVISORS, INC.Registered adviserregistration: previous registration
Oct 1, 2007 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.