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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

KATHY LYNN PHILLIPS

Advisor at LPL FINANCIAL LLC

ALOHA, OR

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Search this name across graphsid dfx:ria:c3e429f6-5285-9ae3-2fd6-0652a121110b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 23, 2003 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: Mar 3, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 3, 1997
First registration: Apr 23, 2003
Dual registered: yes, broker-dealer
Other names: KATHY L HERSHEY|KATHY LYNN DONABEDIAN
IAPD individual key: 2843243

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	Feb 27, 2015	n/a	yes	ALOHA, OR	Current employment
CROSS FINANCIAL ADVISORS	Independent wealth	Jun 29, 2017	Jul 25, 2017	no	PORTLAND, OR	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 11, 2015	no	PORTLAND, OR	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	PORTLAND, OR	Previous registration
MORGAN STANLEY DW INC.	n/a	Apr 23, 2003	Apr 2, 2007	no	PORTLAND, OR\|PORTLAND, OR	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
CROSS FINANCIAL ADVISORS	n/a	Jul 25, 2017	n/a	n/a	Departure no registered destination	Departure
MORGAN STANLEY	LPL FINANCIAL LLC	Mar 11, 2015	Feb 27, 2015	-12	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 27, 2015 to presentfactForm ADV
→ CROSS FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jun 29, 2017 to Jul 25, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 11, 2015factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Apr 23, 2003 to Apr 2, 2007factForm ADV

Dated events

No dated event names this entity yet.