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Detailed Report
JEFFREY THOMAS RICHARD
GEOFFREY THOMAS RICHARD, JEFF T RICHARD, JEFF RICHARD
CRD#: 1034537
IA
Investment Adviser
B
Broker
HARBOUR INVESTMENTS, INC.CRD#: 19258 35-B S Court St
Platteville, WI 53818
Registration History
199019952000200520102015202020252 FIRMS2015 - Present (9 years)BMIDAMERICA FINANCIAL SERVICES,... (CRD# 47351)2010 - 2015 (5 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)1989 - 2010 (21 years)BROBERT W. BAIRD & CO. INCORPORATED (CRD# 8158)1989 - 1990 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)1986 - 1989 (2 years)IAMONTICELLO INVESTMENT SERVICES... (CRD# 140851)2011 - 2015 (4 years)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2008 - 2010 (1 year)
License(s)

State Registrations

B
Illinois 11/19/2015
IA
Iowa 10/16/2023
B
Iowa 11/19/2015
B
Wisconsin 11/19/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
HARBOUR INVESTMENTS, INC. (CRD#:19258)
35-B S Court St, Platteville, WI 53818
Registered with this firm since 11/19/2015
B
HARBOUR INVESTMENTS, INC. (CRD#:19258)
35-B S Court St, Platteville, WI 53818
Registered with this firm since 11/19/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/31/2011 - 12/14/2015 MONTICELLO INVESTMENT SERVICES, INC. (CRD#:140851) NEOSHO, MO
B
 09/27/2010 - 11/23/2015 MIDAMERICA FINANCIAL SERVICES, INC. (CRD#:47351)
FINRA expelled the firm on 05/10/2016
PLATTEVILLE, WI
IA
 11/03/2008 - 09/28/2010 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) PLATTEVILLE, WI
B
 01/03/1989 - 09/28/2010 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) PLATTEVILLE, WI
B
 07/10/1989 - 11/13/1990 ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158) MILWAUKEE, WI
B
 04/18/1986 - 02/04/1989 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.