Floyd E. Davis

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CRD#: 1809327

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.

Floyd Edward Davis was a registered financial professional .

Floyd is a previously registered financial professional and started their career in finance in 1988. Floyd had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

SPECTRUM POSITION: ADMINISTRATIVE ASSISTANT NATURE: FINANCIAL SERVICES INVESTMENT RELATED: YES HOURS: 160 INVESTMENT RELATED HOURS: 110 START DATE: 08/01/2006 ADDRESS: 811 SAN RAMON VALLEY BLVD., SUITE 100, DANVILLE CA 94566 DESCRIPTION: FINANCIAL PLANNING, INVESTMENT REVIEW, CLERICAL HARVEST INVESTMENT SERVICES, LLC POSITION: IAR NATURE: Investment Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2013 ADDRESS: 1 Trans Am Plaza, Suite 230, OakBrook Terrace IL 60181, United States DESCRIPTION: I work as a administrative assistant for ProEquities advisor Kenneth J. Wilkinson (Y75). As part of my compensation, I receive 10% of the advisory fees that Ken receives for his non-pension accounts (for CA). I currently do not have any accounts with Harvest.Tim Newell of Harvest is my OSJ.

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

November 15, 2024 - April 11, 2025

HARVEST INVESTMENT SERVICES, LLC

RIA

CRD#: 159390

DANVILLE, CA

Past

June 11, 2012 - November 14, 2024

HARVEST INVESTMENT SERVICES, LLC

RIA

CRD#: 159390

DANVILLE, CA

Past

September 28, 2005 - August 9, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

DANVILLE, CA

Past

December 10, 2003 - November 20, 2006

KEARNEY-BURCH FINANCIAL SERVICES, INC.

RIA

CRD#: 135156

SAN RAMON, CA

Past

October 2, 2003 - August 9, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

DANVILLE, CA

Past

September 17, 2001 - October 2, 2003

WADDELL & REED

RIA

CRD#: 866

DUBLIN, CA

Past

August 16, 2001 - October 2, 2003

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

May 22, 1998 - August 17, 2001

BAYSIDE FINANCIAL, LLC

CRD#: 44211

WALNUT CREEK, CA

Past

March 22, 1988 - April 13, 1992

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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).

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.

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

IAR

Series 66

Date: 9/4/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/30/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/26/1998

General Securities Representative Examination

Current Firm

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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Contact information

Main Address

1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285

Mailing Address

Phone number

(630) 613-9230

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/1/2025)

APPENDIX 1: WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,335
AUM (Assets Under Management)	$ 534,204,368

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Floyd E. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARVEST INVESTMENT SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

KEARNEY-BURCH FINANCIAL SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

WADDELL & REED

WADDELL & REED

BAYSIDE FINANCIAL, LLC

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

HARVEST INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2001

Series 63

Date: 1/30/1998

SIE

Date: 8/9/2018

Series 7

Date: 2/26/1998

Current Firm

HARVEST INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVEST INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

Contact information

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