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Stephen Harvey

Commonwealth Financial Network
42 Years of Experience
Alexandria, VA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Stephen Harvey is a registered investment advisor at Commonwealth Financial Network, based in Alexandria, VA, with 42 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6361 Walker Lane, Suite 120, Alexandria, VA, 22310

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2003
Settled
Customer Dispute
August 1991
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen owns Steve Harvey, LLC, a private entity operating as a securities and investment advisory business. He spends all of his time during market hours on this investment-related activity.

Employment History
Current Registrations
Commonwealth Financial Network
April 2005 - Present · 21 yrs 6 mos
Commonwealth Financial NetworkBroker
April 2005 - Present · 21 yrs 6 mos
Previous Registrations
Morgan Stanley
May 1992 - May 2005 · 13 yrs
Morgan Stanley Dw INC.Broker
May 1990 - May 2005 · 15 yrs
Shearson Lehman Hutton INC.Broker
April 1988 - May 1990 · 2 yrs 1 mo
E. F. Hutton & Company INCBroker
July 1984 - April 1988 · 3 yrs 9 mos
State Registrations28 states
ALAZCACTDCDEFLGAILKSKYMAMDMIMNMTNCNJNMNVNYOHPARISCTXUTVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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