Kathy ColbyCRD Number: 1280917
Current Firm: Usa Financial Securities Corporation
Kathy Colby (CRD# 1280917) is an Investment Advisor Representative working at Usa Financial Securities Corporation in Lansing, MI and has over 33 years of experience in the finance industry.
Commonwealth Financial Network
Ryzome Investment Advisors
|Usa Financial Securities||Ada, MI||Feb 2016 - Current||2|
|Financial Independents, Inc.||Lansing, MI||Oct 1997 - Current||20|
|Dominion Portfolio Management, Inc.||Horseshoe Bay, TX||Aug 2009 - Feb 2016||6|
|Dominion Investor Services, Inc.||Horseshoe Bay, TX||Mar 1995 - Feb 2016||20|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1984|
|S65||NASAA Investment Advisors Law Examination||Nov 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management262MILLIONS
Total Number of Accounts1,924ACCOUNTS
Average Account Value$136,313
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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