Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Stearns Harvey is a financial advisor with over 20 years of experience in the financial services industry. Richard is currently registered with LPL Financial LLC in South Carolina. Richard has previously worked at UVEST Financial Services Group, Inc., Questar Capital Corporation, USAllianz Securities, Inc., Banc of America Investment Services, Inc., and CSFBDIRECT, Inc. Richard is also a Registered Investment Advisor (RIA). Richard has a wide range of experience in financial planning, portfolio management, and other advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
SC
09/26/2016 - Present
LPL Financial LLC (FORT MILL SC)
NC
04/26/2007 - 04/17/2012
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
NC
12/01/2006 - 04/19/2007
QUESTAR CAPITAL CORPORATION (CORNELIUS NC)
NC
03/17/2003 - 12/01/2006
USALLIANZ SECURITIES, INC. (CORNELIUS NC)
MA
06/24/2002 - 03/17/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NJ
08/24/1999 - 12/31/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
IA
Issued 08/29/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/17/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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