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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

MICHAEL JOHN HARVEY

Advisor at ALLSTATE FINANCIAL ADVISORS, LLC

ARVADA, CO

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Search this name across graphsid dfx:ria:85fc6b29-2599-441f-e97e-c5c17c46fa8c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 29, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLSTATE FINANCIAL ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 24, 2008
First registration: Sep 29, 2008
Dual registered: yes, broker-dealer
Other names: MICHAEL J HARVEY|MIKE HARVEY
IAPD individual key: 5546205

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Nov 3, 2023	n/a	yes	ARVADA, CO	Current employment
INSTITUTE FOR WEALTH ADVISORS, INC.	Former SEC adviser	Feb 17, 2012	May 14, 2013	no	LITTLE ELM, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Feb 8, 2010	Dec 31, 2011	no	ADDISON, TX	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 29, 2008	Aug 28, 2009	no	Plano, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INSTITUTE FOR WEALTH ADVISORS, INC.	ALLSTATE FINANCIAL ADVISORS, LLC	May 14, 2013	Nov 3, 2023	3,825	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	INSTITUTE FOR WEALTH ADVISORS, INC.	Dec 31, 2011	Feb 17, 2012	48	Firm change	Other
PRUCO SECURITIES, LLC	MML INVESTORS SERVICES, LLC	Aug 28, 2009	Feb 8, 2010	164	Firm change	Other

Relationships

Registered with (4)

→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ INSTITUTE FOR WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Feb 17, 2012 to May 14, 2013factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Feb 8, 2010 to Dec 31, 2011factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 29, 2008 to Aug 28, 2009factForm ADV

Dated events

No dated event names this entity yet.