Jimmy D. 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.
Jimmy Douglas Harvey, who also goes by Jim Harvey, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1969. Jimmy had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1998 - September 4, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 15, 1997 - January 1, 1998
NATIONSSECURITIES
June 22, 1996 - December 31, 1996
BOATMEN'S INVESTMENT SERVICES, INC.
June 25, 1990 - October 15, 1997
BOATMEN'S INVESTMENT SERVICES OF ARKANSAS, INC.
May 12, 1987 - June 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 11, 1982 - July 1, 1987
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 18, 1969 - May 20, 1987
OSAIC FA, INC.
August 18, 1969 - June 24, 1987
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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 1
Date: 8/12/1969
Registered Representative ExaminationCurrent Firm
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
