NS
Nick W. Sondel
HARBOUR INVESTMENTS
MADISON, WI 53719
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CRD#: 1261064
NS
Professional summary
Nick William Sondel, who also goes by Nick William Ondel, Nick W Sondel, is a registered financial professional currently at HARBOUR INVESTMENTS, INC. located in Madison, Wisconsin.
Nick is registered as a RR (Registered Representative) and started their career in finance in 1984. Nick has worked at 2 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nick William Ondel | Nick W Sondel
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Nick William Sondel'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®
NoneExperience
Current
April 14, 1987 - Present
HARBOUR INVESTMENTS, INC.
Office #1: 575 D'onofrio Drive Suite 300, Madison, WI 53719RIA
BD
CRD#: 19258
MADISON, WI
Past
May 22, 1984 - January 14, 1987
SUPENA-NYMAN INVESTMENT CORPORATION
BD
CRD#: 8067
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.
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
Alabama(8/15/1990)
RR
Indiana(4/26/1988)
RR
Iowa(2/16/1988)
RR
Kansas(6/11/1992)
RR
Massachusetts(1/27/1994)
RR
Mississippi(1/4/2001)
RR
New Mexico(3/3/1999)
RR
Texas(3/17/2000)
RR
Wisconsin(4/17/1987)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
HARBOUR INVESTMENTS, INC.
CRD#: 19258Madison, WI 53719TRUST BUT VERIFY
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