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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)36 years in industry

KATHIE HERBST OKUN

Advisor at LPL FINANCIAL LLC

Towson , MD | SAN DIEGO, CA | TOWSON, MD

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:49ab9486-eb4c-636d-85e4-06d8341a1c92

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 17, 2006 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: LPL FINANCIAL LLC
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: Jan 6, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S65|S63
First exam: Jan 6, 1990
First registration: Mar 17, 2006
Dual registered: yes, broker-dealer
Other names: KATHIE JEAN HERBST|KATHIE JEAN OKUN
IAPD individual key: 1773274

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 28, 2026	n/a	yes	Towson , MD\|TOWSON, MD\|SAN DIEGO, CA	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 24, 2025	Jul 30, 2026	no	TOWSON, MD	Previous registration
OSAIC FA, INC.	Former SEC adviser	Apr 7, 2017	Jan 24, 2025	no	Lutherville, MD\|BLUE BELL, PA\|TOWSON, MD	Previous registration
HORNOR, TOWNSEND & KENT, LLC	Independent wealth	Mar 17, 2006	Apr 13, 2017	no	TOWSON, MD\|TOWSON, MD	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
OSAIC WEALTH, INC.	LPL FINANCIAL LLC	Jul 30, 2026	Jul 28, 2026	-2	Firm change	Ibd to ibd
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
HORNOR, TOWNSEND & KENT, LLC	OSAIC FA, INC.	Apr 13, 2017	Apr 7, 2017	-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
23131:6413:MD:2026-07-30	Jul 30, 2026	Jul 28, 2026	TOWSON, MD	Firm change
4031:3978:MD:2017-04-06	Apr 13, 2017	Apr 7, 2017	TOWSON, MD	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 28, 2026 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jan 24, 2025 to Jul 30, 2026factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Apr 7, 2017 to Jan 24, 2025factForm ADV
→ HORNOR, TOWNSEND & KENT, LLCRegistered adviserregistration: previous registration
Mar 17, 2006 to Apr 13, 2017factForm ADV

Dated events

Occurred
Jul 30, 2026
Advisor changed firm
Kathie Herbst Okun left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-07-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49ab9486-eb4c-636d-85e4-06d8341a1c92
First observed: Mar 17, 2006
Last observed: Sep 15, 2026 5 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.

KATHIE HERBST OKUN

Advisor at LPL FINANCIAL LLC

Towson , MD | SAN DIEGO, CA | TOWSON, MD

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:49ab9486-eb4c-636d-85e4-06d8341a1c92

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:48 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Jul 28, 2026

n/a

yes

Towson , MD|TOWSON, MD|SAN DIEGO, CA

Current employment

OSAIC WEALTH, INC.

Bd affiliated wealth

Jan 24, 2025

Jul 30, 2026

TOWSON, MD

Previous registration

OSAIC FA, INC.

Former SEC adviser

Apr 7, 2017

Jan 24, 2025

Lutherville, MD|BLUE BELL, PA|TOWSON, MD

Previous registration

HORNOR, TOWNSEND & KENT, LLC

Independent wealth

Mar 17, 2006

Apr 13, 2017

TOWSON, MD|TOWSON, MD

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

OSAIC WEALTH, INC.

LPL FINANCIAL LLC

Jul 30, 2026

Jul 28, 2026

-2

Firm change

Ibd to ibd

OSAIC FA, INC.

OSAIC WEALTH, INC.

Jan 24, 2025

Bulk transfer

Ibd to ibd

HORNOR, TOWNSEND & KENT, LLC

OSAIC FA, INC.

Apr 13, 2017

Apr 7, 2017

-6

Firm change

Other

Team

Left

Joined

From

Kind

23131:6413:MD:2026-07-30

Jul 30, 2026

Jul 28, 2026

TOWSON, MD

Firm change

4031:3978:MD:2017-04-06

Apr 13, 2017

Apr 7, 2017

TOWSON, MD

Firm change