Joseph Harvier
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.
Joseph Harvier, who also goes by Joe Harvier, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2016 - November 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 4, 2016 - November 4, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 2013 - July 6, 2015
DEUTSCHE BANK SECURITIES INC.
July 7, 2010 - September 10, 2012
HSBC SECURITIES (USA) INC.
May 31, 2001 - July 30, 2010
CREDIT SUISSE SECURITIES (USA) LLC
September 12, 2000 - May 23, 2001
DEUTSCHE BANK SECURITIES INC.
July 29, 1999 - September 18, 2000
BLOOMBERG TRADEBOOK LLC
December 5, 1997 - April 2, 1998
NEWEDGE USA, LLC
June 27, 1996 - January 28, 1997
INTERCAPITAL SECURITIES LLC
October 4, 1995 - January 28, 1997
ICAP SECURITIES USA LLC
November 9, 1994 - February 24, 1995
CIBC WORLD MARKETS CORP.
August 20, 1992 - May 18, 1994
NOMURA SECURITIES INTERNATIONAL, INC.
September 11, 1990 - September 2, 1992
UBS FINANCIAL SERVICES INC.
June 6, 1989 - January 18, 1990
TGB CORPORATION
September 27, 1988 - February 4, 1989
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
January 19, 1988 - September 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
