Kathy Lynn Phillips

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2015-02-27

OR RA
APPROVED

Since 2015-02-27

Branch Locations

Aloha, OR • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Beaverton	OR	02/2015	Present

02/2015 → Present

Lpl Financial

Beaverton, OR

Previous Registrations

2017-06-29 → 2017-07-25

Cross Financial Advisors

Portland, OR
2009-06-01 → 2015-03-11

Morgan Stanley

Portland, OR
2007-04-02 → 2009-06-01

Morgan Stanley & Co. Llc

Portland, OR
2003-04-23 → 2007-04-02

Morgan Stanley Dw Inc.

Portland, OR

Portland, OR

Other Businesses

1. 02/27/2015 - KATHY PHILLIPS ART - OTHER - ART - 2% - BEAVERTON, OR 2. 02/27/2015 - COOPER MOUNTAIN WEALTH MANAGEMENT, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 100% - BEAVERTON, OR

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-03-07
S63	Uniform Securities Agent State Law Examination	1997-03-03

S65 Uniform Investment Adviser Law Examination

1997-03-07
S63 Uniform Securities Agent State Law Examination

1997-03-03

Other Names

Kathy L Hershey
Kathy Lynn Donabedian

View on SEC IAPD