Richard Wayne Harvey

Current Employers

Employment History

• 05/2007 → Present
  Lpl Financial Llc
  Greensboro, NC
• 02/2015 → Present
  Independent Advisor Alliance, Llc
  Greensboro, NC

Previous Registrations

• 2005-01-31 → 2007-05-09
  Woodbury Financial Services, Inc.
  Greensboro, NC
  Greensboro, NC

Other Businesses

1. 10/5/2007 - Richard W. Harvey, LLC - Investment Related - Business Entity For Tax/Investment Purposes Only - TIME SPENT 100% - Created LLC for tax purposes. 2. 12/16/2015 - Harvey Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - START 01/01/2016 - 20 Hours Per Month During Securities Trading. 3. 2/5/2016 - Independent Advisor Alliance - DBA: (Hybrid) Harvey Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - START 01/01/2016 - 160 Hours Per Month During Securities Trading - Offering managed advisory accounts for a fixed advisory fee percentage through Independent Advisor Alliance. 4. 01/11/2022 - Independent Advisor Alliance LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 02/01/2015 - 144 Hours Per Month/144 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 01/2022. I expect to spend approximately 144 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-09-30
• S63 Uniform Securities Agent State Law Examination
  1999-08-20

Other Names

• Richard Wayne Harvey