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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-01-19 |
| IN | RA | APPROVED | 2024-01-19 |
| TX | RA | APPROVED_RES | 2024-01-19 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bmo Harris Financial Advisors | Valparaiso | IN | 05/2011 | 03/2020 |
| Woodbury Financial Services Inc | Valparaiso | IN | 03/2020 | 01/2024 |
| Osaic Wealth, Inc. | Valparaiso | IN | 01/2024 | Present |
1. HARVEY WEALTH MANAGEMENT, LLC POSITION: CEO NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/04/2020 ADDRESS: 602 E. Lincolnway, Valparaiso IN 46383, United States DESCRIPTION: handles overhead expenses related to wealth management firm 2. VALPARAISO COUNTRY CLUB POSITION: Treasurer NATURE: Social Club 501(c)(7) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/27/2022 ADDRESS: 2501 Country Club Rd, Valparaiso IN 46383, United States DESCRIPTION: As Treasurer I review and deliver remarks on the club's financial condition. As a member of the board of directors I assist in making decisions on behalf of the organization.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-25 |
| S63 | Uniform Securities Agent State Law Examination | 2003-07-18 |
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