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Richard Stearns Harvey

LPl Financial LLC

Fort Mill, SC

Charlotte, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2025-01-01
  • SC RA
    APPROVED
    Since 2025-01-01

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Charlotte, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Charlotte NC 04/2012 Present
Previous Registrations
  • 2007-04-26 → 2012-02-06
    Uvest Financial Services Group, Inc.
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
  • 2006-12-01 → 2007-04-27
    Questar Asset Management, Inc.
    Cornelius, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-29
S63 Uniform Securities Agent State Law Examination 1999-09-13
  • S65 Uniform Investment Adviser Law Examination
    2006-08-29
  • S63 Uniform Securities Agent State Law Examination
    1999-09-13

View on SEC IAPD

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Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

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