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Investment Adviser Firm Summary

HARBOUR INVESTMENTS, INC. (CRD# 19258 / SEC# 8-37373, 801-29185)
Alternate Names: 3 RIVERS INVESTMENT ADVISORS LLC , AHLERS & STOLL WEALTH MANAGEMENT , ALONGI SANTAS FINANCIAL , ARNOLD AND COMPANY , ASCENT FINANCIAL , BEACON WEALTH MANAGEMENT , BEN C. KAUFMANN , BENCHMARK FINANCIAL ADVISORS, LLC , BEST INVESTING & TAX , BEVERLY HICKS & ASSOCIATES , BLOCK FINANCIAL LLC , BODDEN WEALTH MANAGEMENT , BODIN FINANCAIL SERVICES , BRAD BARNETT , BRANDT WEALTH ADVISORS , BRIDGEPORT INVESTMENTS , BROCK WEAVER , BROOKHILL FINANCIAL, LLC , BRUNER FINANCIAL SERVICES, INC. , BURNHAM & FLOWER , BURNS BROTHERS FINANCIAL GROUP , BUSBEE WEALTH STRATEGIES, LLC , BUSINESS & ESTATE ADVANTAGES , CADE FINANCIAL SERVICES , CAMELBACK WEALTH CONSULTANTS, LLC , CAPITAL FINANCIAL GROUP, S.C. , CAPITAL FINANCIAL SERVICES , CAPITAL INVESTMENT SERVICES , CAPITAL WEALTH ADVISORS LTD , CAPITOL SOLUTIONS, INC. , CAPSTONE FINANCIAL ADVISORS , CARRIE L. COLE , CATANZARITE FINANCIAL SERVICES INV , CBB INVESTMENT CENTER , CHARLES DAVID LANDIS , CLEARSTEP FINANCIAL , CONFER FINANCIAL SERVICES , COORDINATED FINANCIAL SERVICES , CRAIG ANDERSON , CRISPIGNA FINANCIAL SERVICES , CZUKAS, MCCALL & ASSOC., INC. , CZUKAS, MCCALL & ASSOCIATES , D. D. CARLSON FINANCIAL GROUP, INC. , DELEGGE FINANCIAL SERVICES, INC. , DENALI WEALTH MANAGEMENT , DEPREZ FINANCIAL SERVICES , DEREMER AGENCY , DIVERSIFIED FINANCIAL ADVISORS , DIVERSIFIED FINANCIAL CONCEPTS , DMB INVESTMENT CENTER , DSB INVESTMENT CENTER , DUES WEALTH MANAGEMENT LLC , DWIGHT KIMBER , E RETIREMENT CONSULTING , EDGE FINANCIAL SERVICES LLC , ERIC BRINEN , ESCH ADVISORS , ESTATE MANAGEMENT & SERVICES S.C. , EXTENDED PERSONAL SERVICE, LTD , FINANCIAL CONSULTING SERVICES , FINANCIAL INNOVATIONS, LLC , FINANCIAL PLANNING GROUP, LLC , FINANCIAL RESOURCES , FINANCIAL SERVICES OF WINONA , FINANCIAL SOLUTIONS & INVESTMENTS , FIRST RATE FINANCIAL , FORESIGHT FINANCIAL , FOSTER FINANCIAL SERVICES, LLC , FRANKE MARTENS GROUP , FRANKLIN FINANCIAL CONSULTING , GERALD MILLER , GLOBAL FINANCIAL GROUP , GLP WEALTH MANAGEMENT , GOLDEN FINANCIAL SERVICES, INC , GRACZYK DIJAK FINANCIAL , GREEN MOUNTAIN WEALTH STRATEGIES , GTLENCKE WEALTH MGT, LLC , HARBOUR INVESTMENTS, INC. , HAREZLAK FINANCIAL GROUP LLC , HEDGE FINANCIAL SERVICES LLC , HH FINANCIAL PLANNING GROUP , HILL & ASSOCIATES INC , HILL COUNTRY FINANCIAL INVESTMENTS , IMI FINANCIAL CONSULTANTS, INC. , INCOME PLANNING GROUP, LLC , INNOVATIVE FINANCIAL INC , INTEGRITY FINANCIAL ADVISORS LLC , INTEGRITY INVESTMENTS , INVESTMENT CENTER , INVESTMENT PLUS , INVESTMENTS & RETIREMENT CONSULTING GROUP , J & S PARTNERS, INC. , JAMES D. ZIFER JR. , JAMES WEALTH MANAGEMENT GROUP , JDN FINANCIAL , JERROLD S. WICENTOWSKI , JERRY JORDAHL , JG WEALTH MANAGEMENT , JMJ RETIREMENT SOLUTIONS , JOEL GUTHMANN , JOHN AUGUSTIN & ASSOCIATES, LLC , JOHN PATRICK PLANNING GROUP LLC , JOHN R MUELLER , JOHNSON & WACHHOLZ FINANCIAL SERVICES , JOSEPH BUTORAC , JOSEPH L YARD , KATHERINE STIENESSEN FINANCIAL ADVISOR , KAY STIENESSEN , KEN RUMBAUGH INC , KEYSTONE FINANCIAL GROUP , KING FINANCIAL , KIRSCH FINANCIAL, INC. , KISS FINANCIAL SERVICES , KLAUKE FINANCIAL & INSURANCE SERVICES , KLUTTZ FINANCIAL PARTNERS , KNIBBE FINANCIAL INC , KNIBBE INVESTMENT MANAGEMENT LLC , KOVALSKI FINANCIAL SERVICES, LLC , LAKELAND FINANCIAL SERVICES , LAKES AND PLAINS ADVISORS , LAKIS INVESTMENTS INC , LEBARON FINANCIAL GROUP , LEGACY INVESTMENTS & INSURANCE SERVICES , LEGACY INVESTMENTS & INSURANCE SERVICES LLC , LORENCE & VANDERZWART , LP FINANCIAL SERVICES LLC , MARK R VANCE , MARK VENDEN , MARK W. KROLL , MARSHALL FINANCIAL GROUP , MATT NIERMEYER , MENNENGA TAX & FINANCIAL SERVICES , MGA WEALTH MANAGEMENT , MICHAEL FINANCIAL CONSULTING , MS FINANCIAL , NELSON FINANCIAL SERVICES , NEUFELD CAPITAL MANAGEMENT , NEW EAGLE WEALTH MANAGEMENT , NORTHWOODS RETIREMENT SERVICES , NUVISTA CAPITAL MANAGEMENT , OOSTBURG FINANCIAL SERVICES LLC , OSHEFSKY FINANCIAL SERVICES , PDI FINANCIAL GROUP , PLANNING CONCEPTS INC. , PLUMBLINE ADVISORY GROUP , POINT B WEALTH ADVISORS , PREFERRED FINANCIAL GROUP, LLC , PREFERRED PLANNING , PROJECTED PLANNING COMPANY, INC. , R.D. GRAVES WEALTH MANAGEMENT , RANSTROM FINANCIAL PLANNING , RED OAK ASSET MANAGEMENT INC...

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/10/1987

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 04/04/2016
Alaska 05/19/2016
Arizona 12/06/2001
Arkansas 06/20/2007
California 10/27/2004
Colorado 12/06/2001
Connecticut 03/09/2011
Delaware 08/18/2015
District of Columbia 08/25/2006
Florida 08/02/1989
Georgia 01/31/2001
Hawaii 09/04/2007
Idaho 09/07/2018
Illinois 10/27/1999
Indiana 01/24/2005
Iowa 01/25/2006
Kansas 06/12/2014
Kentucky 10/16/2007
Maryland 03/16/2015
Massachusetts 10/05/2007
Michigan 12/14/1999
Minnesota 01/31/2001
Mississippi 05/18/2016
Missouri 10/27/1999
Montana 08/25/2010
Nebraska 03/21/2013
Nevada 07/28/2006
New Hampshire 02/04/2013
New Jersey 11/14/2011
New Mexico 10/06/2005
New York 01/31/2001
North Carolina 10/05/2005
North Dakota 01/02/2001
Ohio 03/01/2004
Oklahoma 08/17/2017
Oregon 10/28/2008
Pennsylvania 04/27/2007
South Carolina 01/31/2001
South Dakota 01/30/2006
Tennessee 08/30/1999
Texas 10/14/1994
Utah 08/26/2009
Vermont 07/17/2012
Virginia 07/14/2006
Washington 08/28/1991
West Virginia 01/14/2016
Wisconsin 04/17/1987

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser