DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)23 years in industry

WILLIAM PATRICK HARVEY

Advisor at LPL FINANCIAL LLC

WALNUT CREEK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8ec1f898-9c20-c779-9a07-0f8ca063892d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 8, 2002 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: LPL FINANCIAL 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: Oct 8, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 13, 2008
First registration: Oct 8, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4540836

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 29, 2021	n/a	yes	WALNUT CREEK, CA	Current employment
OSAIC FA, INC.	Former SEC adviser	Jan 15, 2013	Jan 29, 2021	no	SAN RAMON, CA\|ALAMO, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 14, 2008	Aug 23, 2012	no	San Francisco, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Sep 11, 2004	Dec 2, 2004	no	WALNUT CREEK, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 8, 2002	May 27, 2004	no	CONCORD, CA	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
OSAIC FA, INC.	LPL FINANCIAL LLC	Jan 29, 2021	Jan 29, 2021	0	Firm change	Ibd to ibd
CHARLES SCHWAB & CO., INC.	OSAIC FA, INC.	Aug 23, 2012	Jan 15, 2013	145	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	CHARLES SCHWAB & CO., INC.	Dec 2, 2004	Mar 14, 2008	1,198	Firm change after gap	Other
MORGAN STANLEY DW INC.	WELLS FARGO INVESTMENTS, LLC	May 27, 2004	Sep 11, 2004	107	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 29, 2021 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jan 15, 2013 to Jan 29, 2021factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 14, 2008 to Aug 23, 2012factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Sep 11, 2004 to Dec 2, 2004factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 8, 2002 to May 27, 2004factForm ADV

Dated events

No dated event names this entity yet.