Kathy Colby, financial advisor Lansing MI
83 score

Kathy Colby

CRD 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 32 years of experience in the finance industry.

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Company Name Location Dates Years
Usa Financial Securities Ada, MI Feb 2016 - Current < 1
Financial Independents, Inc. Lansing, MI Oct 1997 - Current 19
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Kathy L. Colby
Phone Number: 888-407-8198
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    173
    MILLIONS
  • Total Number of Accounts
    1,466
    ACCOUNTS
  • Average Account Value
    $117,745
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
Types of Clients
Registered States

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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BADGES
83

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