Mark E. Waldoch

HARBOUR INVESTMENTS

Geneva, IL 60134

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CRD#: 1484023

Professional summary

Mark Eliot Waldoch is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Geneva, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. WALDOCH FINANCIAL SERVICES - INDEPENDENT INSURANCE AGENT INCLUDING EQUITY INDEXED ANNUITIES. 2. MARK WALDOCH CPA, OWNER, TAX PREP, NON-INVESTMENT RELATED, 206 1/2 W STATE ST, STE, 1201, GENEVA IL 60134, 6-12 HOURS/MONTH.3. MWBC, INC., OWNER, GROUP HEALTH INSURANCE SALES, 206 1/2 W STATE ST, STE, 1201, GENEVA IL 60134, START DATE 1/1/2004, NON-INVESTMENT RELATED, 1 HOUR/MONTH DURING SECURITIES TRADING HOURS. 3. MWBC, inc., Owner, pass through entity, 206 1/2 W State St., Geneva IL, 60134

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Eliot Waldoch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark Eliot Waldoch'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

September 16, 2016 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 206 1/2 W State Street Suite 201, Geneva, IL 60134

RIA

CRD#: 19258

Geneva, IL

Current

August 6, 2009 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 206 1/2 W State Street Suite 201, Geneva, IL 60134

RIA

CRD#: 19258

Geneva, IL

Past

August 6, 2009 - December 31, 2014

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

GENEVA, IL

Past

January 3, 2007 - August 7, 2009

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

GENEVA, IL

Past

January 3, 2007 - August 7, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

GENEVA, IL

Past

October 27, 1999 - December 31, 2006

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

GENEVA, IL

Past

September 1, 1999 - December 31, 2006

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

GENEVA, IL

Past

August 11, 1997 - September 7, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 30, 1987 - July 29, 1997

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 6, 1986 - July 29, 1997

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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

Alabama
(8/29/2024)

Arizona
(2/10/2023)

California
(11/2/2023)

Colorado
(3/23/2021)

Florida
(1/4/2010)

Illinois
(8/6/2009)

IAR

Illinois
(9/16/2016)

Maryland
(9/6/2022)

Michigan
(5/31/2011)

North Carolina
(1/5/2010)

Ohio
(5/21/2013)

Pennsylvania
(8/5/2025)

Tennessee
(5/18/2016)

Texas
(5/9/2024)

Washington
(10/31/2024)

Wisconsin
(1/5/2012)

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

IAR

Series 65

Date: 9/17/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/31/1991

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: 1/11/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/5/1986

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

Mark E. Waldoch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Eliot Waldoch's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mark Eliot Waldoch's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/17/1999

Series 63

Date: 10/31/1991

SIE

Date: 10/1/2018

Series 7

Date: 1/11/1999

Series 6

Date: 5/5/1986

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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