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JEFFREY THOMAS RICHARD
GEOFFREY THOMAS RICHARD, JEFF T RICHARD, JEFF RICHARD
CRD#: 1034537
IA
B
HARBOUR INVESTMENTS, INC.CRD#: 19258 35-B S Court St
Platteville, WI 53818
Platteville, WI 53818
0
Disclosures
38
Years of Experience
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State Registrations
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Illinois 11/19/2015
IA
Iowa 10/16/2023
B
Iowa 11/19/2015
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Wisconsin 11/19/2015
SRO Registrations
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Registered with this firm since 11/19/2015
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Registered with this firm since 11/19/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/31/2011 - 12/14/2015 | NEOSHO, MO | |
B | 09/27/2010 - 11/23/2015 | PLATTEVILLE, WI | |
IA | 11/03/2008 - 09/28/2010 | PLATTEVILLE, WI | |
B | 01/03/1989 - 09/28/2010 | PLATTEVILLE, WI | |
B | 07/10/1989 - 11/13/1990 | MILWAUKEE, WI | |
B | 04/18/1986 - 02/04/1989 | SPRINGFIELD, MA |
PLATTEVILLE, WI
09/27/2010 - 11/23/2015
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.