RD
Richard A. Deyo
HARBOUR INVESTMENTS
Kokomo, IN
Some features on this profile are disabled
CRD#: 1793562
RD
Professional summary
Richard Arthur Deyo, who also goes by Rick Arthur Deyo, Rick Deyo, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Kokomo, Indiana.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Richard has worked at 16 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Arthur Deyo | Rick Deyo
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. INDEPENDENT INSURANCE AGENT WHICH MAY INCLUDE EQUITY INDEXED ANNUITIES 2. INTRUST FINANCIAL GROUP - DBA, OWNER 3. CATALYST REAL ESTATE LLC. - OWNER OF RENTAL PROPERTY, KOKOMO, IN 4. TURNABOUT COMMUNITY RESOURCE CENTER,IS NOT INVESTMENT RELATED,"P. O. BOX 31, , RUSSIAVILLE, IN, 46936, UNITED STATES",REFERRAL FOR ADDICTION OR MENTAL HEALTH ISSUES,BOARD MEMBER,7/1/2025,5 HOURS PER MONTH,0 HOURS PER MONTH DURING TRADING HOURS,NO COMPENSATION COMPENSATION,"ASKED TO SERVE ON THE BOARD OF DIRECTORS TO PROVIDE FUND RAISING IDEAS, GUIDANCE AND CONSULTATION.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Arthur Deyo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Arthur Deyo's 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®
NoneExperience
Current
July 11, 2024 - Present
HARBOUR INVESTMENTS, INC.
RIA
BD
CRD#: 19258
Kokomo, IN
Current
July 11, 2024 - Present
HARBOUR INVESTMENTS, INC.
RIA
BD
CRD#: 19258
Kokomo, IN
Past
February 1, 2008 - July 12, 2024
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
LOOGOOTEE, IN
Past
March 22, 2006 - July 12, 2024
CFD INVESTMENTS, INC.
BD
CRD#: 25427
KOKOMO, IN
Past
October 3, 2005 - March 17, 2006
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
SHELBY TOWNSHIP, MI
Past
January 13, 2004 - September 30, 2005
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
LONGWOOD, FL
Past
April 17, 2003 - December 31, 2003
FREEDOM FINANCIAL, INC.
BD
CRD#: 45850
OMAHA, NE
Past
March 13, 2002 - May 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 13, 2002 - May 14, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
March 7, 2001 - December 19, 2001
PRIVATE CONSULTING GROUP, INC.
BD
CRD#: 45053
PORTLAND, OR
Past
July 7, 2000 - March 20, 2001
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
April 12, 2000 - June 7, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
September 18, 1995 - April 1, 1999
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
September 18, 1995 - April 1, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
April 19, 1995 - July 21, 1995
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
NAPA, CA
Past
October 27, 1989 - August 3, 1994
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 27, 1989 - August 3, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
May 31, 1989 - July 6, 1989
FIRST AFFILIATED SECURITIES
BD
CRD#: 23737
LA JOLLA, CA
Past
June 21, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
SAN DIEGO, CA
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".
HI
HARBOUR INVESTMENTS, INC.
1ST RATE WEALTH MANAGEMENT - MIKE PEAT | E2 RETIREMENT CONSULTING - RAYMOND SPROULL | E2 RETIREMENT CONSULTING - NATHAN TYLEY | E2 RETIREMENT CONSULTING - MARYANNE ZAWLOCKI | E2 RETIREMENT CONSULTING - JOSHUA TE STROETE | E2 RETIREMENT CONSULTING - ERIK GAUGER | E2 RETIREMENT CONSULTING - CALEB RADOMSKI | DWIGHT KIMBER | DUES WEALTH MANAGEMENT LLC - GAVIN DUES | DSB INVESTMENT CENTER | DREYER WEALTH MANAGEMENT - MICHAEL DREYER | DREYER WEALTH MANAGEMENT - JOSHUA HANSEN | DREYER WEALTH MANAGEMENT - DYLAN MILES | DREYER WEALTH MANAGEMENT - CYDNEY MAINS | DORN WEALTH MANAGEMENT - MEGAN DORN | DMB INVESTMENT CENTER | DIVERSIFIED FINANCIAL CONCEPTS | DIVERSIFIED FINANCIAL ADVISORS - CONNOR BAUSERMAN | DIVERSIFIED FINANCIAL ADVISORS - BLANE HEISLER | DIVERSIFIED FINANCIAL ADVISORS | DEREMER AGENCY - DANIEL DEREMER | DERBY FINANCIAL & ASSOCIATES - SANDY DERBY | DEPREZ FINANCIAL SERVICES | DENALI WEALTH MANAGEMENT | DELEGGE FINANCIAL SERVICES, INC. | D. D. CARLSON FINANCIAL GROUP, INC. | CZUKAS, MCCALL & ASSOCIATES - JOSEPH CZUKAS | CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS | CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME | CZUKAS, MCCALL & ASSOC., INC. | CRUBEL FINANCIAL SERVICES - DOUG CRUBEL | CRISPIGNA FINANCIAL SERVICES - STEVE CRISPIGNA | CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN | CRISPIGNA FINANCIAL SERVICES - KACY ALLEN | CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ | CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA | CREATIVE WEALTH PARTNERS, LLC - GEORGE ZECK | CORNERSTONE WEALTH MANAGEMENT - JOSHUA RYAN | CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY | CORNERSTONE FINANCIAL PLANNING - KEITH WICKLUND | COORDINATED FINANCIAL SERVICES | CONFER FINANCIAL SERVICES | CLEARSTEP FINANCIAL - CASSANDRA BRASHIER | CLEARSTEP FINANCIAL - ADAM HUB | CLEARSTEP FINANCIAL | CHARLES DAVID LANDIS | CBB INVESTMENT CENTER | CATANZARITE FINANCIAL SERVICES - JOE CATANZARITE | CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE | CASTLE FINANCIAL, LLC - TODD THOMPSON | CASTLE FINANCIAL, LLC - JESSE MELICHAR | CARRIE L. COLE | CAPSTONE FINANCIAL ADVISORS | CAPITOL SOLUTIONS, INC. | CAPITAL WEALTH ADVISORS LTD | CAPITAL SEASONS WEALTH MANAGEMENT - STEPHANIE EHR | CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS | CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE | CAPITAL INVESTMENT SERVICES | CAPITAL FINANCIAL SERVICES | CAPITAL FINANCIAL GROUP - DONALD GROSS | CAMELBACK WEALTH MANAGEMENT - WILLIAM HERDING | CAMELBACK WEALTH MANAGEMENT - MARK HERDING | CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI | CADE FINANCIAL SERVICES - TRAVIS GASKELL | CADE FINANCIAL SERVICES - BEAU SCHROEDER | CADE FINANCIAL SERVICES - AARON CADE | BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON | BUTORAC, JOHNSON & ASSOCIATES - JOSEPH BUTORAC | BUSINESS & ESTATE ADVANTAGES | BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE | BURNS BROTHERS FINANCIAL GROUP | BRUNER FINANCIAL SERVICES, INC. - KEVIN BRUNER | BROOKHILL FINANCIAL, LLC | BRIDGEPORT INVESTMENTS | BRANDT WEALTH ADVISORS - PHILIP BRANDT | BRAD BARNETT | BOUTIQUE WEALTH MANAGEMENT - JOHN BODDEN | BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS | BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT | BODIN FINANCIAL SERVICES - THOMAS BODIN | BLOCK FINANCIAL LLC - PAUL BLOCK | BLOCK FINANCIAL LLC - MARK KROLL | BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS | BEST INVESTING & TAX - BELINDA BEST | BENCHMARK FINANCIAL ADVISORS, LLC | BEN C. KAUFMANN | BEACON WEALTH MANAGEMENT - RYAN SCHMID | BEACON WEALTH ADVISORS - RACHEL HOOK | BEACON WEALTH ADVISORS - JOSHUA PRATT | BEACON WEALTH ADVISORS - CHRIS MORGAN | BAYER FINANCIAL GROUP, LLC - MATT BAYER | AVILA WEALTH MANAGEMENT - KIMBERLY SCHREIBER | AVILA WEALTH MANAGEMENT - CASSANDRA BRASHIER | AVILA WEALTH MANAGEMENT - ADAM HUB | ASCENT FINANCIAL | ARNOLD AND COMPANY | ALONGI SANTAS FINANCIAL - MARTIN NIELSEN | ALONGI SANTAS FINANCIAL - HENRY CLEMENT | ALONGI SANTAS FINANCIAL - DAVID DISTEFANO | AHLERS & STOLL WEALTH MANAGEMENT - PAM AHLERS | AERIE PREFERRED FINANCIAL GROUP - LAURIE ELLIS-MCLEOD | 3 RIVERS INVESTMENT ADVISORS LLC - GREG VOLITICH...
CRD#: 19258 / SEC#: 801-29185, 8-37373
RIA
Registered Investment Advisory firm - SEC (4/10/1987 Approved)BD
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.RR
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
RR
Florida(7/11/2024)
RR
Indiana(7/11/2024)
IAR
Indiana(7/11/2024)
RR
Missouri(11/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HI
HARBOUR INVESTMENTS, INC.
1ST RATE WEALTH MANAGEMENT - MIKE PEAT | E2 RETIREMENT CONSULTING - RAYMOND SPROULL | E2 RETIREMENT CONSULTING - NATHAN TYLEY | E2 RETIREMENT CONSULTING - MARYANNE ZAWLOCKI | E2 RETIREMENT CONSULTING - JOSHUA TE STROETE | E2 RETIREMENT CONSULTING - ERIK GAUGER | E2 RETIREMENT CONSULTING - CALEB RADOMSKI | DWIGHT KIMBER | DUES WEALTH MANAGEMENT LLC - GAVIN DUES | DSB INVESTMENT CENTER | DREYER WEALTH MANAGEMENT - MICHAEL DREYER | DREYER WEALTH MANAGEMENT - JOSHUA HANSEN | DREYER WEALTH MANAGEMENT - DYLAN MILES | DREYER WEALTH MANAGEMENT - CYDNEY MAINS | DORN WEALTH MANAGEMENT - MEGAN DORN | DMB INVESTMENT CENTER | DIVERSIFIED FINANCIAL CONCEPTS | DIVERSIFIED FINANCIAL ADVISORS - CONNOR BAUSERMAN | DIVERSIFIED FINANCIAL ADVISORS - BLANE HEISLER | DIVERSIFIED FINANCIAL ADVISORS | DEREMER AGENCY - DANIEL DEREMER | DERBY FINANCIAL & ASSOCIATES - SANDY DERBY | DEPREZ FINANCIAL SERVICES | DENALI WEALTH MANAGEMENT | DELEGGE FINANCIAL SERVICES, INC. | D. D. CARLSON FINANCIAL GROUP, INC. | CZUKAS, MCCALL & ASSOCIATES - JOSEPH CZUKAS | CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS | CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME | CZUKAS, MCCALL & ASSOC., INC. | CRUBEL FINANCIAL SERVICES - DOUG CRUBEL | CRISPIGNA FINANCIAL SERVICES - STEVE CRISPIGNA | CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN | CRISPIGNA FINANCIAL SERVICES - KACY ALLEN | CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ | CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA | CREATIVE WEALTH PARTNERS, LLC - GEORGE ZECK | CORNERSTONE WEALTH MANAGEMENT - JOSHUA RYAN | CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY | CORNERSTONE FINANCIAL PLANNING - KEITH WICKLUND | COORDINATED FINANCIAL SERVICES | CONFER FINANCIAL SERVICES | CLEARSTEP FINANCIAL - CASSANDRA BRASHIER | CLEARSTEP FINANCIAL - ADAM HUB | CLEARSTEP FINANCIAL | CHARLES DAVID LANDIS | CBB INVESTMENT CENTER | CATANZARITE FINANCIAL SERVICES - JOE CATANZARITE | CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE | CASTLE FINANCIAL, LLC - TODD THOMPSON | CASTLE FINANCIAL, LLC - JESSE MELICHAR | CARRIE L. COLE | CAPSTONE FINANCIAL ADVISORS | CAPITOL SOLUTIONS, INC. | CAPITAL WEALTH ADVISORS LTD | CAPITAL SEASONS WEALTH MANAGEMENT - STEPHANIE EHR | CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS | CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE | CAPITAL INVESTMENT SERVICES | CAPITAL FINANCIAL SERVICES | CAPITAL FINANCIAL GROUP - DONALD GROSS | CAMELBACK WEALTH MANAGEMENT - WILLIAM HERDING | CAMELBACK WEALTH MANAGEMENT - MARK HERDING | CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI | CADE FINANCIAL SERVICES - TRAVIS GASKELL | CADE FINANCIAL SERVICES - BEAU SCHROEDER | CADE FINANCIAL SERVICES - AARON CADE | BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON | BUTORAC, JOHNSON & ASSOCIATES - JOSEPH BUTORAC | BUSINESS & ESTATE ADVANTAGES | BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE | BURNS BROTHERS FINANCIAL GROUP | BRUNER FINANCIAL SERVICES, INC. - KEVIN BRUNER | BROOKHILL FINANCIAL, LLC | BRIDGEPORT INVESTMENTS | BRANDT WEALTH ADVISORS - PHILIP BRANDT | BRAD BARNETT | BOUTIQUE WEALTH MANAGEMENT - JOHN BODDEN | BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS | BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT | BODIN FINANCIAL SERVICES - THOMAS BODIN | BLOCK FINANCIAL LLC - PAUL BLOCK | BLOCK FINANCIAL LLC - MARK KROLL | BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS | BEST INVESTING & TAX - BELINDA BEST | BENCHMARK FINANCIAL ADVISORS, LLC | BEN C. KAUFMANN | BEACON WEALTH MANAGEMENT - RYAN SCHMID | BEACON WEALTH ADVISORS - RACHEL HOOK | BEACON WEALTH ADVISORS - JOSHUA PRATT | BEACON WEALTH ADVISORS - CHRIS MORGAN | BAYER FINANCIAL GROUP, LLC - MATT BAYER | AVILA WEALTH MANAGEMENT - KIMBERLY SCHREIBER | AVILA WEALTH MANAGEMENT - CASSANDRA BRASHIER | AVILA WEALTH MANAGEMENT - ADAM HUB | ASCENT FINANCIAL | ARNOLD AND COMPANY | ALONGI SANTAS FINANCIAL - MARTIN NIELSEN | ALONGI SANTAS FINANCIAL - HENRY CLEMENT | ALONGI SANTAS FINANCIAL - DAVID DISTEFANO | AHLERS & STOLL WEALTH MANAGEMENT - PAM AHLERS | AERIE PREFERRED FINANCIAL GROUP - LAURIE ELLIS-MCLEOD | 3 RIVERS INVESTMENT ADVISORS LLC - GREG VOLITICH...
CRD#: 19258 / SEC#: 801-29185, 8-37373
RIA
Registered Investment Advisory firm - SEC (4/10/1987 Approved)BD
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)
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.
