Colby L. Harlow

HARLOW CAPITAL MANAGEMENT LLC

Dallas, TX

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CRD#: 3206186

Professional summary

Colby Lynn Harlow is a registered financial advisor currently at HARLOW CAPITAL MANAGEMENT LLC located in Dallas, Texas.

Colby is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Colby has worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Insurance Sales - less than 1.0% of time spent during business hours and none during non business hours 2) Serve on board of CTW companies as Secretary Treasurer - less than 10% of time spent during non business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colby Lynn Harlow's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 1, 2005 - Present

HARLOW CAPITAL MANAGEMENT LLC

RIA

CRD#: 133918

Dallas, TX

Past

March 5, 2008 - January 20, 2010

FARINA & ASSOCIATES, INC.

CRD#: 32830

NEW YORK, NY

Past

December 20, 2005 - April 27, 2006

VIRTU FINANCIAL CAPITAL MARKETS LLC

CRD#: 45986

NEW YORK, NY

Past

May 3, 2002 - February 25, 2005

WESTERN STRATEGIC ASSETS, L.L.C.

CRD#: 118757

FORT WORTH, TX

Past

November 10, 2000 - May 5, 2005

WESTERN RESEARCH AND MANAGEMENT, L.L.C.

RIA

CRD#: 109509

FORT WORTH, TX

Past

August 30, 1999 - September 7, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 5, 1999 - November 4, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(2/1/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 12/6/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/4/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2002

General Securities Principal Examination

Current Firm

HARLOW CAPITAL MANAGEMENT LLC

CRD#: 133918 / SEC#: 801-63836

RIA

Registered Investment Advisory firm - (5/17/2012 Terminated)

Texas

Registered Investment Advisory firm - (5/3/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Dallas, TX

Mailing Address

P.o Box 190136, Dallas, TX 75219

Phone number

(214) 754-0800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	135
AUM (Assets Under Management)	$ 96,237,140

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2025	Cover Page	Report
09/09/2024	Cover Page	Report
08/10/2023	Cover Page	Report
10/24/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Colby L. Harlow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Colby Lynn Harlow's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARINA & ASSOCIATES, INC.

VIRTU FINANCIAL CAPITAL MARKETS LLC

WESTERN STRATEGIC ASSETS, L.L.C.

WESTERN RESEARCH AND MANAGEMENT, L.L.C.

CITIGROUP GLOBAL MARKETS INC.

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/18/1999

Series 55

Date: 12/6/2005

Series 7

Date: 5/4/1999

Series 24

Date: 10/11/2002

Current Firm

HARLOW CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HARLOW CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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