William Harvey

HARVEY WEALTH MANAGEMENT LLC

Redwood City, CA

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CRD#: 7115299

Professional summary

William Harvey, who also goes by William Walter Harvey, is a registered financial advisor currently at HARVEY WEALTH MANAGEMENT LLC located in Redwood City, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. William has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William Walter 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 William Harvey'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

January 9, 2023 - Present

HARVEY WEALTH MANAGEMENT LLC

RIA

CRD#: 324344

Redwood City, CA

Past

October 29, 2019 - December 6, 2022

EDWARD JONES

RIA

CRD#: 250

Redwood City, CA

Past

October 15, 2019 - December 6, 2022

EDWARD JONES

CRD#: 250

Redwood City, CA

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

California
(1/9/2023)

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: 8/2/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/18/2019

Securities Industry Essentials Examination

Current Firm

HARVEY WEALTH MANAGEMENT LLC

CRD#: 324344 / SEC#: 801-127134

RIA

Registered Investment Advisory firm - (5/22/2023 Terminated)

California

Registered Investment Advisory firm - (5/19/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Redwood City, CA

Mailing Address

Phone number

(408) 489-9969

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 6,500,000

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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William Harvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HARVEY WEALTH MANAGEMENT LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2019

Series 7TO

Date: 7/11/2019

SIE

Date: 6/18/2019

Current Firm

HARVEY WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HARVEY WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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