Joy M. Schlie

HARVEST FINANCIAL ADVISORS

West Chester, OH 45069

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CRD#: 2820814

Professional summary

Joy Michelle Schlie, CFP®, who also goes by Joy M Schlie, Joy M Yinger, Joy Michelle Yinger, is a registered financial advisor currently at HARVEST FINANCIAL ADVISORS, LLC located in West Chester, Ohio.

Joy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Joy has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joy M Schlie | Joy M Yinger | Joy Michelle Yinger

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.

1. NAME OF OTHER BUSINESS: FREEMAN HEYNE TOMA; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 08/2019; POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNER / INVESTMENT ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: REVIEWING ACCOUNTS AND FINANCIAL PLANS, SUGGESTING CHANGES AS NEEDED, PROVIDING EDUCATION AND GUIDANCE; 2. NAME OF OTHER BUSINESS: FHT ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joy Michelle Schlie'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®

CFP^®

Certified Financial Planner

Experience

Current

January 31, 2024 - Present

HARVEST FINANCIAL ADVISORS, LLC

Office #1: 8840 Cincinnati-dayton Road, West Chester, OH 45069

RIA

CRD#: 145552

West Chester, OH

Past

September 3, 2019 - December 22, 2023

CETERA ADVISORS LLC

RIA

CRD#: 10299

CINCINNATI, OH

Past

September 3, 2019 - December 22, 2023

CETERA ADVISORS LLC

CRD#: 10299

CINCINNATI, OH

Past

September 1, 2009 - June 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

COVINGTON, KY

Past

July 31, 2009 - June 7, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

COVINGTON, KY

Past

November 10, 2008 - July 9, 2009

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

WEST CHESTER, OH

Past

November 6, 2008 - July 9, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

CINCINNATI, OH

Past

July 25, 2006 - February 1, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BLUE ASH, OH

Past

July 15, 1998 - February 1, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BLUE ASH, OH

Past

November 20, 1997 - June 22, 1998

TOUCHSTONE SECURITIES, INC.

CRD#: 1526

CINCINNATI, OH

Past

December 2, 1996 - May 21, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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 FINANCIAL ADVISORS, LLC

CRD#: 145552 / SEC#: 801-68507

RIA

Registered Investment Advisory firm - (11/16/2007 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

Indiana
(1/31/2024)

IAR

Kentucky
(1/31/2024)

IAR

Ohio
(1/31/2024)

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: 6/30/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/9/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARVEST FINANCIAL ADVISORS, LLC

CRD#: 145552 / SEC#: 801-68507

RIA

Registered Investment Advisory firm - (11/16/2007 Approved)

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Contact information

Main Address

8840 Cincinnati-dayton Road, West Chester, OH 45069

Mailing Address

Phone number

(513) 779-3030

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B 3-31-2025 (8/18/2025)

FORM ADV PART 2A, 2B 3-21-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,295
AUM (Assets Under Management)	$ 582,622,483

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/16/2024	Cover Page	Report
10/23/2023	Cover Page	Report
01/18/2023	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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Advisor Monitoring

Firm Stability Insights

Joy M. Schlie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joy Michelle Schlie's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

TOUCHSTONE SECURITIES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HARVEST FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/30/2006

Series 63

Date: 10/9/1998

SIE

Date: 6/7/2018

Series 7

Date: 11/2/1998

Series 6

Date: 11/29/1996

Current Firm

HARVEST FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HARVEST FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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