Sophia H. Burnichon

HARVEY CAPITAL MANAGEMENT

CRD#: 4736167

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Professional summary

Sophia Harvey Burnichon, who also goes by Sophia Trindade Harvey, is a registered financial advisor currently at HARVEY CAPITAL MANAGEMENT INC .

Sophia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Sophia has worked at 4 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sophia Trindade Harvey

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sophia Harvey Burnichon'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®

None

Experience

Current

October 23, 2007 - Present

HARVEY CAPITAL MANAGEMENT INC

RIA

CRD#: 106224

Past

June 7, 2005 - May 23, 2007

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

January 1, 2005 - May 31, 2005

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

March 17, 2004 - January 1, 2005

HSBC BROKERAGE (USA) INC.

CRD#: 6956

NEW YORK, NY

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".

HARVEY CAPITAL MANAGEMENT INC

CRD#: 106224 / SEC#: 801-52027

RIA

Registered Investment Advisory firm - (5/28/1996 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

Florida
(10/23/2007)

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 65

Date: 9/27/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 3/16/2004

General Securities Representative Examination

Current Firm

HARVEY CAPITAL MANAGEMENT INC

CRD#: 106224 / SEC#: 801-52027

RIA

Registered Investment Advisory firm - (5/28/1996 Approved)

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Contact information

Main Address

400 Royal Palm Way Suite 400, Palm Beach, FL 33480-4117

Mailing Address

Phone number

(561) 804-9181

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	173
AUM (Assets Under Management)	$ 523,317,953

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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Sophia H. Burnichon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sophia Harvey Burnichon's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARVEY CAPITAL MANAGEMENT INC

UBS INTERNATIONAL INC.

HSBC SECURITIES (USA) INC.

HSBC BROKERAGE (USA) INC.

Primary Firm SEC Registration

HARVEY CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2007

Series 7

Date: 3/16/2004

Current Firm

HARVEY CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVEY CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

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