Kenneth Lee Harvey

Current Employers

Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

Authority	Category	Status	Date
VA	RA	APPROVED	2013-09-03

VA RA
APPROVED

Since 2013-09-03

Branch Locations

828 Main Street 17Th Floor, Lynchburg, VA 24504 • 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

Organization	City	State	From	To
Bank Of The James	Lynchburg	VA	08/2013	Present
Infinex Investments, Inc.	Lynchburg	VA	08/2013	Present

08/2013 → Present

Bank Of The James

Lynchburg, VA
08/2013 → Present

Infinex Investments, Inc.

Lynchburg, VA

Previous Registrations

2009-07-21 → 2013-09-03

Madison Avenue Securities, Llc

San Diego, CA

Lynchburg, VA
2002-06-20 → 2009-06-26

Wells Fargo Clearing Services, Llc

Forest, VA

Lynchburg, VA

Rustburg, VA

Lynchburg, VA

Lynchburg, VA

Rustburg, VA

Roanoke, VA

Rustburg, VA
2000-07-05 → 2002-06-20

Wachovia Securities, Inc.

Charlotte, NC

Other Businesses

PEALCHARD POOL & TENNIS CLUB - LYNCHBURG, VA NEIGHBORHOOD SWIMMING POOL - VOLUNTEER - NEIGHBORHOOD POOL BOARD - 1-2 HOURS A MONTH, NONE DURING MARKET HOURS. A VOLUNTERR TERM ENDING 12/13

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-18
S63	Uniform Securities Agent State Law Examination	1998-09-02

S65 Uniform Investment Adviser Law Examination

1999-12-18
S63 Uniform Securities Agent State Law Examination

1998-09-02

View on SEC IAPD