James D. Harvey

TOCQUEVILLE ASSET MANAGEMENT LP

New York, NY 10019

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CRD#: 1514610

Professional summary

James Dale Harvey II is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 4 firms and has passed the Series 63, Series 2 and Series 6 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.

Pigasus Vineyard LLC, non-investment related; nature of business: vineyard in the business of selling grapes; position: proprietor; start date: December 2016; time spent: approximately 10 hours/month, no hours spent on this other business during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dale Harvey II's CRS (Customer Relationship Summary).

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

April 22, 2025 - Present

TOCQUEVILLE ASSET MANAGEMENT LP

Office #1: 40 West 57th Street 19th Floor, New York, NY 10019

RIA

CRD#: 105690

New York, NY

Past

July 29, 2009 - June 17, 2025

POPLAR FOREST CAPITAL LLC

RIA

CRD#: 145250

PASADENA, CA

Past

August 25, 1987 - August 3, 1989

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

June 10, 1986 - August 28, 1989

YORKTOWN DISTRIBUTORS, INC.

CRD#: 16220

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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
(4/22/2025)

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: 6/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 1/16/1992

Non-Member General Securities Examination

General Industry/Product Exam

Series 6

Date: 6/9/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

CRD#: 105690 / SEC#: 801-36209

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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Contact information

Main Address

40 West 57th Street 19th Floor, New York, NY 10019

Mailing Address

Phone number

(212) 698-0800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOCQUEVILLE ASSET MANAGEMENT LP BROCHURE JUNE 2025 (6/4/2025)

Regulatory assets under management

Total Number of Accounts	2,440
AUM (Assets Under Management)	$ 9,660,385,107

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
09/27/2024	Cover Page	Report
02/22/2024	Cover Page	Report
03/16/2023	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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James D. Harvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Dale Harvey II's CRS (Customer Relationship Summary).

Certified licenses

Experience

POPLAR FOREST CAPITAL LLC

MORGAN STANLEY & CO. LLC

YORKTOWN DISTRIBUTORS, INC.

Primary Firm SEC Registration

TOCQUEVILLE ASSET MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/1986

Series 2

Date: 1/16/1992

Series 6

Date: 6/9/1986

Current Firm

TOCQUEVILLE ASSET MANAGEMENT LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TOCQUEVILLE ASSET MANAGEMENT LP

TRUST BUT VERIFY

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