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Christopher Howell Harvey

Christopher H. Harvey

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CRD#: 1082041
Christopher Howell Harvey

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Christopher Howell Harvey, who also goes by Chris Harvey, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1983. Christopher had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

What are your service offerings?
Retirement Planning Strategies
Estate Planning Strategies
Insurance
Are you a "fiduciary"?
No

Aliases

Chris Harvey

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.
Business Ownership; Harvey & Company, LLC; ; Harvey & Company, LLC will be the successor LLC to LifeVA LLC when that entity is terminated in August of 2016. Advisor is seeking approval for the new name in order to sign a lease for office space.; 307 East Market Street Suite 100Leesburg, VA 2076, ,; Not Investment-Related; 09/01/2016; 40 to 59 hours per month; 1 to 9 during trading hours / Vision Without Sight LLC; ; Motivational Speaking; 17651 White Gate PlaceLeesburg, VA 20175, ,; ; ; 1 to 9 hours per month; .

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 1, 2009 - November 18, 2010

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

September 11, 2009 - July 23, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Leesburg, VA
Past

September 11, 2009 - July 23, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Leesburg, VA
Past

June 1, 2009 - September 28, 2009

MORGAN STANLEY

RIA
CRD#: 149777
LEESBURG, VA
Past

June 1, 2009 - September 28, 2009

MORGAN STANLEY

BD
CRD#: 149777
LEESBURG, VA
Past

October 7, 1994 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
LEESBURG, VA
Past

May 25, 1994 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
LEESBURG, VA
Past

February 2, 1983 - June 7, 1994

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/7/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/18/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/6/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/13/1982
General Securities Representative Examination

Current Firm

SA
SECURITIES AMERICA, INC.
SECURITIES AMERICA FINANCIAL SERVICES | WILLIAMS, WILD & LARSON SECURITIES, INC. | TYMAN SECURITIES, INC. | TMG SECURITIES, INC. | SECURITIES AMERICA, INC. | SECURITIES AMERICA WEALTH MANAGEMENT GROUP

CRD#: 10205 / SEC#: , 8-26602

BD
Terminated by SEC on 08/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/08/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITIES AMERICA FINANCIAL CORP.SHAREHOLDER
CHAFFEE, HAROLD GERARDVICE PRESIDENT, CHIEF COMPLIANCE OFFICER2905661
CORNICK, GREGORY ALLENDIRECTOR3132991
FORD, ERINN JUNEINTERIM PRESIDENT, DIRECTOR AND CEO2176816
GERB, JASON HARRISSVP, CHIEF REGULATORY OFFICER3021815
HULETT, KIRK JESSEEXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR2528380
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
SCHMIDT, DAVID MARTINTREASURER, FINANCIAL AND OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event58
Arbitration27
Bond5

Red Flags

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

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Company Information

SECURITIES AMERICA, INC.

Financial AdvisorCRD#: 10205

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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