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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-03-12 |
| VA | RA | APPROVED | 2020-03-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Dorsey Wright & Associates | Richmond | VA | 06/2016 | 07/2018 |
| Wells Fargo Clearing Services, Llc | Richmond | VA | 07/2018 | 03/2020 |
| Wells Fargo Advisors Financial Network, Llc | Richmond | VA | 03/2020 | Present |
HARVIE WEALTH MANAGEMENT GROUP, LLC, INVT RELATED, RICHMOND, VA, 10% OWNERSHIP, START DATE 3/13/2020, 10 HRS PER MONTH, 0 HRS DURING TRADING, TO FINET PRACTICE. PNF HOLDINGS LLC, INVT RELATED, MECHANICSVILLE, VA, 100% OWNERSHIP, START DATE 3/13/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, FINET PRACTICE.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2018-08-23 |
| S65 | Uniform Investment Adviser Law Examination | 2016-10-05 |
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