Michelle L. 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.
Michelle Lee Harvey, who also goes by Michelle L Harvey, Michelle Lee Kunst, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1986. Michelle had worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - January 27, 2022
ALPHAMAX DISTRIBUTORS, L.L.C.
August 14, 2013 - July 25, 2018
WOODBURY FINANCIAL SERVICES, INC.
June 4, 2007 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
June 4, 2007 - March 3, 2009
ADVANTAGE CAPITAL CORPORATION
June 4, 2007 - July 25, 2018
OSAIC SERVICES, INC.
June 4, 2007 - July 25, 2018
OSAIC WEALTH, INC.
June 4, 2007 - July 25, 2018
FSC SECURITIES CORPORATION
July 26, 1993 - June 2, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 2, 1989 - October 9, 1992
ASB FINANCIAL SERVICES
November 14, 1988 - January 3, 1989
SUTRO & CO. INCORPORATED
November 21, 1986 - September 14, 1988
GRIFFIN FINANCIAL SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ALPHAMAX DISTRIBUTORS, L.L.C.
CRD#: 8258 / SEC#: , 8-24931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSBORNE, MATTHEW CHARLES | CHIEF EXECUTIVE OFFICER & CIO, CCO | 2949871 |
Disclosures
| Regulatory Event | 1 |
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.
