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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)35 years in industry

SANDY KAYE DERBY

Advisor at HARBOUR INVESTMENTS, INC.

PORTAGE, MI

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Search this name across graphsid dfx:ria:6b8b2459-eda8-6555-23ca-e059f65e0471

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 26, 2010 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: HARBOUR INVESTMENTS, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 6, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63
First exam: Nov 6, 1990
First registration: Aug 26, 2010
Dual registered: yes, broker-dealer
Other names: SANDY KAY DERBY|SANDY KAYE BRISTOL|SANDY KAYE STROUP
IAPD individual key: 2102710

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
HARBOUR INVESTMENTS, INC.	Independent wealth	Jul 23, 2019	n/a	yes	PORTAGE, MI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 16, 2016	Jun 19, 2019	no	KALAMAZOO, MI\|PORTAGE, MI\|PAW PAW, MI\|PORTAGE, MI\|KALAMAZOO, MI\|KALAMAZOO, MI\|KALAMAZOO, MI\|KALAMAZOO, MI\|KALAMAZOO, MI\|PAW PAW, MI	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 19, 2012	Mar 15, 2016	no	Windsor, CT\|PORTAGE, MI\|BRAINTREE, MA	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 26, 2010	Sep 14, 2012	no	PORTAGE, MI\|NOBLESVILLE, IN\|PORTAGE, MI	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
LPL FINANCIAL LLC	HARBOUR INVESTMENTS, INC.	Jun 19, 2019	Jul 23, 2019	34	Firm change	RIA to RIA
VOYA FINANCIAL ADVISORS, INC.	LPL FINANCIAL LLC	Mar 15, 2016	Mar 16, 2016	1	Firm change	Other
WOODBURY FINANCIAL SERVICES, INC.	VOYA FINANCIAL ADVISORS, INC.	Sep 14, 2012	Sep 19, 2012	5	Firm change	Other

Relationships

Registered with (4)

→ HARBOUR INVESTMENTS, INC.Registered adviserregistration: current employment
Jul 23, 2019 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 16, 2016 to Jun 19, 2019factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 19, 2012 to Mar 15, 2016factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 26, 2010 to Sep 14, 2012factForm ADV

Dated events

No dated event names this entity yet.