GP
Geraldine M. Parrott
HARBOUR INVESTMENTS
Madison, WI
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CRD#: 1185742
GP
Professional summary
Geraldine Marie Parrott, CFP®, who also goes by Geraldine Parrott, Jeri Parrott, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Madison, Wisconsin.
Geraldine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Geraldine has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Geraldine Parrott | Jeri Parrott
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. RED OAK ASSET MANAGEMENT, INC. - INDEPENDENT INSURANCE AGENT
CRS (Client Relationship Summary) - RIA
Click below to view Geraldine Marie Parrott's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Geraldine Marie Parrott's 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®
CFP®
Start date: 1988
Experience
Current
October 20, 2011 - Present
HARBOUR INVESTMENTS, INC.
RIA
BD
CRD#: 19258
Madison, WI
Current
October 20, 2011 - Present
HARBOUR INVESTMENTS, INC.
RIA
BD
CRD#: 19258
Madison, WI
Past
September 23, 2009 - October 25, 2011
STIFEL INDEPENDENT ADVISORS, LLC
RIA
CRD#: 28218
MADISON, WI
Past
September 23, 2009 - October 25, 2011
STIFEL INDEPENDENT ADVISORS, LLC
BD
CRD#: 28218
MADISON, WI
Past
July 1, 2004 - September 23, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MADISON, WI
Past
July 1, 2004 - September 23, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MADISON, WI
Past
March 2, 1998 - July 26, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
April 6, 1992 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
July 18, 1986 - April 14, 1992
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
September 21, 1983 - July 31, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
HI
HARBOUR INVESTMENTS, INC.
1ST RATE WEALTH MANAGEMENT - MIKE PEAT | E2 RETIREMENT CONSULTING - RAYMOND SPROULL | 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 - WILLIAM HERDING | 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 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 - 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...
CRD#: 19258 / SEC#: 801-29185, 8-37373
RIA
Registered Investment Advisory firm - SEC (4/10/1987 Approved)BD
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.RR
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
RR
Arizona(4/2/2013)
RR
California(10/20/2011)
RR
Minnesota(10/20/2011)
RR
New York(10/30/2022)
RR
Wisconsin(10/20/2011)
IAR
Wisconsin(10/20/2011)
RR
Wyoming(4/25/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HI
HARBOUR INVESTMENTS, INC.
1ST RATE WEALTH MANAGEMENT - MIKE PEAT | E2 RETIREMENT CONSULTING - RAYMOND SPROULL | 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 - WILLIAM HERDING | 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 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 - 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...
CRD#: 19258 / SEC#: 801-29185, 8-37373
RIA
Registered Investment Advisory firm - SEC (4/10/1987 Approved)BD
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)
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.
