Patrick N. Gilbert

HARBOUR INVESTMENTS

Battle Creek, MI 49017

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CRD#: 1698198

Professional summary

Patrick Neil Gilbert is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Battle Creek, Michigan.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Patrick 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)SELECT FINANCIAL GROUP LLC -INDEPENDENT INSURANCE AGENT SINCE 1987. INVESTMENT RELATED. 2) NORTH AVENUE CHURCH OF GOD; OFFICER; 1079 N AVENUE; BATTLE CREEK MI; 49017; ASSOCIATE PASTOR; VARIOUS DUTIES AS ASSIGNED, CREATING NEWSLETTER, HOSPITAL VISITATIONS, ORGANIZING SMALL GROUP MEETINGS, OCCASIONAL PREACHING 10 HRS/MONTH DURING TRADING HRS/25 HRS/MONTH DURING NON TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Neil Gilbert's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Patrick Neil Gilbert'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

January 19, 2016 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 15 Capital Ave Ne Suite 104, Battle Creek, MI 49017Office #2: 829 West Green Street, Marshall, MI 49068Office #3: 2725 Airview Blvd Suite 204, Portage, MI 49002

RIA

CRD#: 19258

Battle Creek, MI

Current

November 9, 2012 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 15 Capital Ave Ne Suite 104, Battle Creek, MI 49017Office #2: 829 West Green Street, Marshall, MI 49068Office #3: 2725 Airview Blvd Suite 204, Portage, MI 49002

RIA

CRD#: 19258

Battle Creek, MI

Past

September 9, 2005 - November 9, 2012

INVEST FINANCIAL CORPORATION

CRD#: 12984

BATTLECREEK, MI

Past

April 15, 2005 - September 16, 2005

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

June 25, 2003 - April 20, 2005

PRESTWICK SECURITIES, INC.

CRD#: 28030

SKOKIE, IL

Past

January 11, 2000 - June 20, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 27, 1995 - January 13, 2000

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 17, 1987 - July 19, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Alaska
(9/29/2016)

Arizona
(10/2/2025)

California
(10/2/2025)

Colorado
(10/2/2025)

Delaware
(11/7/2025)

Florida
(11/9/2012)

Georgia
(11/11/2020)

Illinois
(1/8/2016)

Indiana
(11/9/2012)

Kansas
(10/2/2025)

Kentucky
(6/4/2018)

Maryland
(1/2/2025)

Michigan
(11/9/2012)

IAR

Michigan
(1/19/2016)

Minnesota
(1/8/2016)

Nebraska
(6/27/2018)

New Jersey
(1/29/2013)

North Carolina
(2/20/2013)

Ohio
(11/9/2012)

Pennsylvania
(7/21/2016)

Rhode Island
(1/8/2016)

South Carolina
(8/20/2020)

Tennessee
(1/2/2025)

Texas
(12/13/2024)

Washington
(7/8/2014)

Wisconsin
(1/8/2016)

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: 10/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/1987

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: 9/15/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/1987

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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Patrick N. Gilbert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Neil Gilbert's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Patrick Neil Gilbert's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

INVEST FINANCIAL CORPORATION

HARBOUR INVESTMENTS, INC.

PRESTWICK SECURITIES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2015

Series 63

Date: 9/4/1987

SIE

Date: 10/1/2018

Series 7

Date: 9/15/2015

Series 6

Date: 7/16/1987

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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