David A. Pagel

HARBOUR INVESTMENTS

Cedarburg, WI 53012

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CRD#: 1349586

Professional summary

David Allan Pagel, CFP® is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Cedarburg, Wisconsin.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.I AM ONE OF SEVEN COMMISSIONERS OF THE CEDARBURG LIGHT AND WATER UTILITY CO. SINCE 12/1/2010.I AM A MEMBER OF THE COMMISSION AND ATTEND A MONTHLY MEETING TO DISCUSS ALL ASPECTS OF OPERATING THE UTILITY AND RECEIVE A STIPEND OF $50 PER MONTH. I DEVOTE LESS THAT 1 HOUR PER WEEK TO THIS ACTIVITY. 2.I AM THE SOLE PROPRIETOR OF THE PAGEL FINANCIAL GROUP SINCE 4/1/1991,AN INDEPENDENT INSURANCE OFFICE OFFERING LIFE, HEALTH AND DISABILITY INSURANCE.I DEVOTE 20 HOURS PER WEEK TO THIS. 3.I AM THE TRUSTEE FOR THE ROBERT L PAGEL IRREVOCABLE TRUST SINCE 9/2006. I HAVE THE FIDUCIARY RESPONSIBILITY FOR ALL INVESTMENTS IN MUTUAL FUND BOND FUNDS. I DEVOTE 1 HOUR PER WEEK TO THIS ACTIVITY. 4. I AM A GENERAL PARTNER OF THE PAGEL FAMILY LTD.PARTNERSHIP. I NEGOTIATE LEASES OF 135 ACRES OF WOOD AND CROP LAND. I DEVOTE ONE HALF HOUR PER WEEK TO THIS ACTIVITY. 5.I SERVE AS A NON-FAMILY BOARD MEMBER OF THE BLAKNEY CORPORATION ATTENDING SEMI-ANNUAL MEETINGS TO REVIEW PRIVATE INVESTMENT AND PERFORMANCE OF THE MERRILL LYNCH ADVISERS MANAGING THE FAMILY TRUST. I SPEND ONE A HOUR A WEEK AFTER 5:00 PM AND AM COMPENSATED $1250 PER BOARD MEETING (FOUR TIMES PER YEAR) 6. I AM THE TRUSTEE OF THE O.JEAN PAGEL FAMILY ENDOWMENT TRUST AND AM RESPONSIBLE FOR MANAGING A LODGE PROPERTY IN MARION WISCONSIN AND A CONDOMINIUM IN NAPLES FLORIDA. I DEVOTE ONE HOUR PER WEEK TO THIS ACTIVITY.

CRS (Client Relationship Summary) - RIA

Click below to view David Allan Pagel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Allan Pagel'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

April 15, 2021 - Present

HARBOUR INVESTMENTS, INC.

Office #1: W68 N347 Palmetto Ave, Cedarburg, WI 53012

RIA

CRD#: 19258

Cedarburg, WI

Current

April 15, 2021 - Present

HARBOUR INVESTMENTS, INC.

Office #1: W68 N347 Palmetto Ave, Cedarburg, WI 53012

RIA

CRD#: 19258

Cedarburg, WI

Past

November 3, 2009 - April 16, 2021

R.M. STARK & CO., INC.

CRD#: 7612

CEDARBURG, WI

Past

May 1, 1997 - November 2, 2009

SEGERDAHL & COMPANY, INC.

CRD#: 39590

CEDARBURG, WI

Past

December 20, 1995 - May 6, 1997

MEGARIAN, INC.

CRD#: 16171

Past

October 20, 1992 - December 31, 1995

OGILVIE SECURITY ADVISORS CORPORATION

CRD#: 10105

CHICAGO, IL

Past

February 28, 1992 - October 22, 1992

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

May 16, 1991 - February 5, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

May 16, 1991 - February 5, 1992

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

March 12, 1988 - July 23, 1988

THE MILWAUKEE COMPANY

CRD#: 823

Past

August 20, 1985 - December 10, 1986

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

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

California
(4/15/2021)

Colorado
(4/15/2021)

Illinois
(4/15/2021)

Minnesota
(4/15/2021)

North Carolina
(4/15/2021)

Tennessee
(11/7/2022)

Utah
(4/15/2021)

Wisconsin
(4/15/2021)

IAR

Wisconsin
(4/15/2021)

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: 5/6/1991

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: 3/1/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/15/1991

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 6/3/1985

National Commodity Futures 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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David A. Pagel

Professional summary

Question & Answer

Aliases

Other business activities

CRS (Client Relationship Summary) - RIA

Click below to view David Allan Pagel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Allan Pagel's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

R.M. STARK & CO., INC.

SEGERDAHL & COMPANY, INC.

MEGARIAN, INC.

OGILVIE SECURITY ADVISORS CORPORATION

PRINCIPAL SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

THE MILWAUKEE COMPANY

BLUNT ELLIS & LOEWI INCORPORATED

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/1/1999

Series 6

Date: 5/15/1991

Series 3

Date: 6/3/1985

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.

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