HARBOUR INVESTMENTS, INC. ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 19258
- Firm name
- HARBOUR INVESTMENTS, INC.
- Other names / DBAs
- 1ST RATE WEALTH MANAGEMENT - MIKE PEAT; E2 RETIREMENT CONSULTING - NATHAN TYLEY; E2 RETIREMENT CONSULTING - MARYANNE ZAWLOCKI; E2 RETIREMENT CONSULTING - JOSHUA TE STROETE; E2 RETIREMENT CONSULTING - ERIK GAUGER; E2 RETIREMENT CONSULTING - CALEB RADOMSKI; DWIGHT KIMBER; DUES WEALTH MANAGEMENT LLC - GAVIN DUES; DSB INVESTMENT CENTER; DREYER WEALTH MANAGEMENT - MICHAEL DREYER; DREYER WEALTH MANAGEMENT - JOSHUA HANSEN; DREYER WEALTH MANAGEMENT - DYLAN MILES; DREYER WEALTH MANAGEMENT - CYDNEY MAINS; DORN WEALTH MANAGEMENT - MEGAN DORN; DMB INVESTMENT CENTER; DIVERSIFIED FINANCIAL CONCEPTS; DIVERSIFIED FINANCIAL ADVISORS - CONNOR BAUSERMAN; DIVERSIFIED FINANCIAL ADVISORS - BLANE HEISLER; DIVERSIFIED FINANCIAL ADVISORS; DEREMER AGENCY - DANIEL DEREMER; DERBY FINANCIAL & ASSOCIATES - SANDY DERBY; DEPREZ FINANCIAL SERVICES; DENALI WEALTH MANAGEMENT; DELEGGE FINANCIAL SERVICES, INC.; D. D. CARLSON FINANCIAL GROUP, INC.; CZUKAS, MCCALL & ASSOCIATES - JOSEPH CZUKAS; CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS; CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME; CZUKAS, MCCALL & ASSOC., INC.; CRUBEL FINANCIAL SERVICES - DOUG CRUBEL; CRISPIGNA FINANCIAL SERVICES - STEVE CRISPIGNA; CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN; CRISPIGNA FINANCIAL SERVICES - KACY ALLEN; CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ; CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA; CREATIVE WEALTH PARTNERS, LLC - GEORGE ZECK; CORNERSTONE WEALTH MANAGEMENT - JOSHUA RYAN; CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY; CORNERSTONE FINANCIAL PLANNING - KEITH WICKLUND; COORDINATED FINANCIAL SERVICES; CONFER FINANCIAL SERVICES; CLEARSTEP FINANCIAL - CASSANDRA BRASHIER; CLEARSTEP FINANCIAL - ADAM HUB; CLEARSTEP FINANCIAL; CHARLES DAVID LANDIS; CBB INVESTMENT CENTER; CATANZARITE FINANCIAL SERVICES - JOE CATANZARITE; CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE; CASTLE FINANCIAL, LLC - TODD THOMPSON; CASTLE FINANCIAL, LLC - JESSE MELICHAR; CARRIE L. COLE; CAPSTONE FINANCIAL ADVISORS; CAPITOL SOLUTIONS, INC.; CAPITAL WEALTH ADVISORS LTD; CAPITAL SEASONS WEALTH MANAGEMENT - STEPHANIE EHR; CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS; CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE; CAPITAL INVESTMENT SERVICES; CAPITAL FINANCIAL SERVICES; CAPITAL FINANCIAL GROUP - DONALD GROSS; CAMELBACK WEALTH MANAGEMENT - MEGAN WELLS; CAMELBACK WEALTH MANAGEMENT - MARK HERDING; CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI; CADE FINANCIAL SERVICES - TRAVIS GASKELL; CADE FINANCIAL SERVICES - BEAU SCHROEDER; CADE FINANCIAL SERVICES - AARON CADE; BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON; BUTORAC, JOHNSON & ASSOCIATES - JOSEPH BUTORAC; BUSINESS & ESTATE ADVANTAGES; BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE; BURNS BROTHERS FINANCIAL GROUP; BRUNER FINANCIAL SERVICES, INC. - KEVIN BRUNER; BROOKHILL FINANCIAL, LLC; BRIDGEPORT INVESTMENTS; BRANDT WEALTH ADVISORS - PHILIP BRANDT; BRAD BARNETT; BOUTIQUE WEALTH MANAGEMENT - JOHN BODDEN; BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS; BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT; BODIN FINANCIAL SERVICES - THOMAS BODIN; BLOCK FINANCIAL LLC - PAUL BLOCK; BLOCK FINANCIAL LLC - MARK KROLL; BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS; BEST INVESTING & TAX - BELINDA BEST; BENCHMARK FINANCIAL ADVISORS, LLC; BEN CAIN & ASSOCIATES; BEN C. KAUFMANN; BEACON WEALTH MANAGEMENT - RYAN SCHMID; BEACON WEALTH ADVISORS - RACHEL HOOK; BEACON WEALTH ADVISORS - JOSHUA PRATT; BEACON WEALTH ADVISORS - CHRIS MORGAN; BAYER FINANCIAL GROUP, LLC - MATT BAYER; AVILA WEALTH MANAGEMENT - KIMBERLY SCHREIBER; AVILA WEALTH MANAGEMENT - CASSANDRA BRASHIER; AVILA WEALTH MANAGEMENT - ADAM HUB; ASCENT FINANCIAL; ARNOLD AND COMPANY; ALONGI SANTAS FINANCIAL - MARTIN NIELSEN; ALONGI SANTAS FINANCIAL - JAKOB PATCH; ALONGI SANTAS FINANCIAL - HENRY CLEMENT; ALONGI SANTAS FINANCIAL - DAVID DISTEFANO; AHLERS & STOLL WEALTH MANAGEMENT - PAM AHLERS; AERIE PREFERRED FINANCIAL GROUP - LAURIE ELLIS-MCLEOD; 3 RIVERS INVESTMENT ADVISORS LLC - GREG VOLITICH...
- IA scope
- ACTIVE
- SEC IA file
- 801-29185
- SEC BD file
- 8-37373
- Branches
- 175
- Disclosure events
- YES
- HQ
- MADISON, WI, 53719, United States
Run KYC screen
Check HARBOUR INVESTMENTS, INC. across OFAC + UFLPA + CSL + SAM + OIG + DOJ + CFTC + CFPB + courts + Fed + NHTSA + CISA + FINRA ↗