James Robert Harvey

Current Employers

Employment History

• 06/1999 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 06/1999 → Present
  Opus 111 Group, Llc
  Seattle, WA
• 11/2020 → 12/2021
  Securities America, Inc.
  Seattle, WA
• 11/2020 → 12/2021
  Securities America Advisors, Inc.
  Seattle, WA
• 11/2020 → 12/2021
  Arbor Point Advisors
  Seattle, WA
• 12/2021 → Present
  Commonwealth Financial Network
  San Diego, CA

Previous Registrations

• 2020-11-06 → 2021-12-21
  Securities America Advisors, Inc.
  Seattle, WA
• 2020-11-06 → 2021-01-26
  Arbor Point Advisors
  Seattle, WA
• 1999-07-13 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  Seattle, WA

Other Businesses

1. Fixed insurance sales; as of 12/10/2021; 10% of time spent during business hours; Conducted at branch location; Investment related. 2. Owner, Opus 111 Group, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 07/01/1999; 100% of time spent during business hours; Conducted at branch; Investment related. 3. Owner, Slack Hill Investments, LLC; an entity created for the purpose of making passive investments and real estate holdings at 1 Glenwood Ave, Yonkers, NY 10701, as of 1/01/2019; 1% of time spent during business hours; Not conducted at branch; Investment related. 4. Producer, LifeLock; Identity theft and fraud insurance sales; as of 1/01/2016; 1% of time spent during business hours; Conducted at branch location; Investment related. 5. Producer, LifeLock; Identity theft and fraud insurance sales; as of 1/01/2018; 1% of time spent during business hours; Conducted at branch location; Investment related. 6. Woodworker, Sweet Cedar Woodworking; Located at 388 Sunset Avenue, Eastsound, WA 98245, as of 09/03/2024; 0% of time spent during business hours; Not Conducted at branch location; Not Investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-12-05
• S63 Uniform Securities Agent State Law Examination
  1983-11-30