Richard W. Lanius

HARBOUR INVESTMENTS

Verona, WI 53593

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CRD#: 1476010

Professional summary

Richard Wayne Lanius, who also goes by Rick Lanius, is a registered financial professional currently at HARBOUR INVESTMENTS, INC. located in Verona, Wisconsin.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 62, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Lanius

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Wayne Lanius'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

November 10, 1995 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 951 Kimball Ln Suite 220, Verona, WI 53593

RIA

CRD#: 19258

Verona, WI

Past

June 8, 1987 - December 31, 1990

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 24, 1987 - December 19, 1989

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

August 20, 1986 - November 3, 1995

WFG SECURITIES CORPORATION

CRD#: 13169

MIDDLETON, WI

Past

March 19, 1986 - July 25, 1986

SPRING & BOE INVESTMENT CORP.

CRD#: 8415

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.

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
(4/30/2008)

Colorado
(1/3/2018)

Florida
(4/8/2021)

Illinois
(4/24/2008)

Iowa
(9/28/2011)

Michigan
(2/12/2018)

Minnesota
(9/30/2011)

Oregon
(12/3/2010)

Texas
(8/13/2020)

Virginia
(9/29/2011)

Wisconsin
(11/13/1995)

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.

Exams

State Security Law Exam

Series 63

Date: 3/19/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 3/30/2012

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 10/31/1986

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 3/18/1986

Direct Participation Programs 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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Richard W. Lanius

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Wayne Lanius's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW ENGLAND SECURITIES

HORNOR, TOWNSEND & KENT, LLC

WFG SECURITIES CORPORATION

SPRING & BOE INVESTMENT CORP.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/1986

SIE

Date: 10/1/2018

Series 62

Date: 3/30/2012

Series 6

Date: 10/31/1986

Series 22

Date: 3/18/1986

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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