Stephen G. Smith

HARBOUR INVESTMENTS

MADISON, WI 53711

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CRD#: 1037882

Professional summary

Stephen Gerard Smith, who also goes by Steve Gerard Smith, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Madison, Wisconsin.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Stephen has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Gerard Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)INDEPENDENT INSURANCE AGENT WHICH MAY INCLUDED EQUITY INDEXED ANNUITIES 2) OHIO NATIONAL LIFE INSURANCE COMPANY - CAREER AGENT- 04/28/2015 - NON-VARIABLE INSURANCE - 50% - MADISON, WI 3) POWER PLAY FINANCIAL - DBA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Gerard Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen Gerard Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 13, 2021 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 5940 Seminole Centre Ct Suite 210, Madison, WI 53711

RIA

CRD#: 19258

MADISON, WI

Current

May 13, 2021 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 5940 Seminole Centre Ct Suite 210, Madison, WI 53711

RIA

CRD#: 19258

MADISON, WI

Past

January 15, 2016 - May 24, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

MADISON, WI

Past

April 28, 2015 - May 24, 2021

LPL FINANCIAL LLC

CRD#: 6413

MADISON, WI

Past

December 19, 1995 - April 30, 2015

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

MADISON, WI

Past

March 19, 1991 - January 11, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

June 8, 1987 - December 31, 1990

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 23, 1986 - October 10, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

August 28, 1986 - February 24, 1992

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

May 16, 1986 - January 11, 1996

WFG SECURITIES CORPORATION

CRD#: 13169

MIDDLETON, WI

Past

March 20, 1985 - February 24, 1992

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

January 5, 1984 - May 28, 1986

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

Past

April 26, 1982 - January 3, 1983

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/13/2021)

California
(5/13/2021)

Colorado
(1/2/2024)

Florida
(5/13/2021)

Iowa
(5/13/2021)

Kansas
(5/13/2021)

Michigan
(5/13/2021)

Minnesota
(5/13/2021)

Missouri
(5/13/2021)

Nebraska
(5/13/2021)

New York
(5/13/2021)

North Carolina
(5/13/2021)

Ohio
(5/13/2021)

South Carolina
(5/13/2021)

Utah
(5/13/2021)

Washington
(5/13/2021)

Wisconsin
(5/13/2021)

IAR

Wisconsin
(5/13/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/5/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/5/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/23/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Mailing Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Phone number

(608) 662-6100

Established

Wisconsin since 01/22/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

231

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (10/2/2025)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	CO-CCO	5675560
MEDLAND, RICHARD ONEILL	CO-CCO	2748242
MEYER, RHONDA LEE	SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP	2285226
NELLES, JULIE MARIE	VP OF ADVISORY OPERATIONS & SERVICES	4771824
WIPPERFURTH, DANIEL THOMAS	VICE PRESIDENT OF ADVISOR DEVELOPMENT	4029404

Regulatory assets under management

Total Number of Accounts	38,692
AUM (Assets Under Management)	$ 7,569,614,628

Disclosures

Regulatory Event	3
Bond	6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen G. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Gerard Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Stephen Gerard Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE O.N. EQUITY SALES COMPANY

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

HORNOR, TOWNSEND & KENT, LLC

WFG SECURITIES CORPORATION

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/5/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/16/1985

Series 22

Date: 4/5/1984

Series 6

Date: 4/23/1982

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARBOUR INVESTMENTS, INC.

TRUST BUT VERIFY

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