William J. Gaspar

Some features on this profile are disabled

CRD#: 1490765

Professional summary

William Joseph Gaspar was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, William had worked at 5 firms, which includes HARBOUR INVESTMENTS INC., CL WEALTH MANAGEMENT LLC, ALLIED BEACON PARTNERS INC., WORKMAN SECURITIES CORPORATION, NEW ENGLAND SECURITIES.

Question & Answer

Are you a "fiduciary"?

Aliases

William J Gaspar

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 29, 2012 - May 21, 2014

HARBOUR INVESTMENTS, INC.

RIA

CRD#: 19258

EDEN PRAIRIE, MN

Past

July 28, 2012 - May 21, 2014

HARBOUR INVESTMENTS, INC.

CRD#: 19258

EDEN PRAIRIE, MN

Past

October 4, 2011 - July 30, 2012

CL WEALTH MANAGEMENT LLC

RIA

CRD#: 134922

SCHAUMBURG, IL

Past

October 3, 2011 - July 30, 2012

ALLIED BEACON PARTNERS, INC.

CRD#: 46227

EDEN PRAIRIE, MN

Past

January 11, 2011 - September 30, 2011

WORKMAN SECURITIES CORPORATION

RIA

CRD#: 31898

EDEN PRAIRIE, MN

Past

July 7, 1993 - September 30, 2011

WORKMAN SECURITIES CORPORATION

CRD#: 31898

EDEN PRAIRIE, MN

Past

May 21, 1986 - July 13, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 11/7/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Gaspar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

CL WEALTH MANAGEMENT LLC

ALLIED BEACON PARTNERS, INC.

WORKMAN SECURITIES CORPORATION

WORKMAN SECURITIES CORPORATION

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/7/2000

Series 63

Date: 4/21/1986

Series 7

Date: 5/17/1986

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

Similar Advisors