Jonathan P. 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.
Jonathan Pike Harvey, who also goes by Jon Harvey, was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2003. Jonathan had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6 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
November 3, 2016 - December 15, 2020
LIND CAPITAL PARTNERS
April 21, 2015 - April 8, 2016
FORESIDE FUND SERVICES, LLC
June 13, 2014 - April 6, 2016
GURTIN MUNICIPAL BOND MANAGEMENT
June 5, 2006 - March 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2005 - May 5, 2006
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 29, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
LIND CAPITAL PARTNERS
CRD#: 165810 / SEC#: 801-77824
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
LIND CAPITAL PARTNERS
CRD#: 165810 / SEC#: 801-77824
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 167,064,704 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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