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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

KATHY LYNNE COLBY

Advisor at LPL FINANCIAL LLC

LANSING, MI

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Search this name across graphsid dfx:ria:88b9d855-70fe-af62-eaab-ee79ca86ba2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 23, 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: 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: Aug 24, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 24, 1984
First registration: Jun 23, 2010
Dual registered: yes, broker-dealer
Other names: KATHY LYNNE BRADFORD|KATHY LYNNE SWICK|KATHY LYNNE BOLDT|KATHY LYNNE SWICK|KATHY LYNNE COLBY|KATHY COLBY
IAPD individual key: 1280917

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	Apr 25, 2025	n/a	yes	LANSING, MI	Current employment
USA FINANCIAL SECURITIES LLC	Independent wealth	Mar 2, 2016	Apr 25, 2025	no	Lansing, MI\|Lansing, MI\|ADA, MI	Previous registration
DOMINION PORTFOLIO MANAGEMENT, INC.	Independent wealth	Jan 13, 2011	Feb 29, 2016	no	LANSING, MI\|TAMPA, FL	Previous registration
FINANCIAL INDEPENDENTS, INC.	n/a	Jun 23, 2010	Jan 12, 2016	no	LANSING, 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
USA FINANCIAL SECURITIES LLC	LPL FINANCIAL LLC	Apr 25, 2025	Apr 25, 2025	0	Firm change	RIA to ibd
DOMINION PORTFOLIO MANAGEMENT, INC.	USA FINANCIAL SECURITIES LLC	Feb 29, 2016	Mar 2, 2016	2	Firm change	Other
FINANCIAL INDEPENDENTS, INC.	DOMINION PORTFOLIO MANAGEMENT, INC.	Jan 12, 2016	Jan 13, 2011	-1,825	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 25, 2025 to presentfactForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
Mar 2, 2016 to Apr 25, 2025factForm ADV
→ DOMINION PORTFOLIO MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 13, 2011 to Feb 29, 2016factForm ADV
→ FINANCIAL INDEPENDENTS, INC.Registered adviserregistration: previous registration
Jun 23, 2010 to Jan 12, 2016factForm ADV

Dated events

Occurred
Apr 25, 2025
Advisor changed firm
Kathy Lynne Colby left Usa Financial Securities Llc for Lpl Financial Llc (registered 2025-04-25)
Form ADVobserved 4 days ago