MH
Michael R. Harvey
STRATEGIC FINANCIAL CONCEPTS
Round Rock, TX 78664
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CRD#: 2942423
MH
Professional summary
Michael Robert Harvey is a registered financial advisor currently at STRATEGIC FINANCIAL CONCEPTS, LLC located in Round Rock, Texas and LPL FINANCIAL LLC located in Round Rock, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 9/7/2017 - NFA WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 09/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%.
2. 10/23/2018 - Strategic Financial Concepts, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 09/01/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 20% - I provide investment advisory services through Strategic Financial Concepts, LLC, an independent investment advisor firm. I started this business activity in 09/01/2017. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Robert Harvey's 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®
NoneExperience
Current
October 23, 2018 - Present
STRATEGIC FINANCIAL CONCEPTS, LLC
Office #1: 2201 Double Creek Drive, Suite 5005, Round Rock, TX 78664RIA
CRD#: 141849
Round Rock, TX
Current
September 7, 2017 - Present
LPL FINANCIAL LLC
Office #1: 2201 Double Creek Dr, Ste 5005, Round Rock, TX 78664Office #2: 901 Ne Loop 410 Suite 100, San Antonio, TX 78209RIA
BD
CRD#: 6413
ROUND ROCK, TX
Past
December 17, 2014 - July 13, 2016
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
March 4, 2013 - December 4, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
May 1, 2010 - July 10, 2012
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
AUSTIN, TX
Past
May 1, 2010 - July 10, 2012
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
December 1, 2005 - May 1, 2010
BOFA ADVISORS, LLC
RIA
CRD#: 107900
BOSTON, MA
Past
August 19, 2003 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
November 17, 2000 - August 20, 2003
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
September 9, 1997 - June 6, 2000
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
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".
SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC
CRD#: 141849 / SEC#: 801-67243
RIA
Registered Investment Advisory firm - (10/24/2006 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(9/7/2017)
IAR
Texas(10/23/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
STRATEGIC FINANCIAL CONCEPTS, LLC
AGILE RETIREMENT MANAGEMENT | WWK WEALTH ADVISORS | WEALTH MANAGEMENT DIVISION OF CAPITOL CREDIT UNION | TRILOGY FINANCIAL PLANNING | THE RETIREMENT ANSWER MAN | TEXAS PRIVATE ASSET MANAGEMENT LLC | STRATEGIC FINANCIAL CONCEPTS, LLC | STEVENS WEALTH MANAGEMENT | SEIDENBERGER & COMPANY | ROUND ROCK ASSET MANAGEMENT LLC | ROMANO WEALTH MANAGEMENT | RETIREVEST FINANCIAL SOLUTIONS, LLC. | RED OAK FINANCIAL ASSET MANAGEMENT | ONE XVI WEALTH, LLC | OAKS WEALTH MANAGEMENT | NFA WEALTH MANAGEMENT | NFA INSTITUTIONAL SERVICES | NFA EMPOWERS | NATIONAL FINANCIAL ALLIANCE, LLC | MOFFATT FINANCIAL STRATEGIES | MEIGS FINANCIAL ADVISORS, LLC | MAYFIELD STEVENS FINANCIAL ADVISORS | JEFFREY SOLINSKY WEALTH MANAGEMENT | JEFFERY L. SOLINSKY WEALTH MANAGEMENT, A DIVISION OF SOLINSKY GROUP | G2 WEALTH MANAGEMENT PARTNERS, LLC | CORPORATE FINANCIAL STRATEGIES, LLC | CONCHO INVESTMENT ADVISORS | CHRISTENSEN FINANCIAL SERVICES, INC. | CARROLL ADVISORY GROUP | CAPITAL RETIREMENT PLANNING GROUP | BURNET WEALTH MANAGEMENT, PLLC | BURNET ASSET MANAGEMENT | BUBELA WEALTH MANAGEMENT | BENEFIT PLANNING GROUP INSURANCE & WEALTH MANAGEMENT | BENEFIT PLANNING GROUP | BB&A FINANCIAL GROUP | ASSET PLANNING & CONSULTING LLC
CRD#: 141849 / SEC#: 801-67243
RIA
Registered Investment Advisory firm - (10/24/2006 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 Ne Loop 410 Suite 100, San Antonio, TX 78209
Mailing Address
Phone number
(210) 737-7800
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,290 |
| AUM (Assets Under Management) | $ 1,006,017,397 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STRATEGIC FINANCIAL CONCEPTS, LLC
CRD#: 141849Round Rock, TX 78664TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
