Robert T. Groves

HARBOUR INVESTMENTS

Appleton, WI 54915

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CRD#: 1869909

Professional summary

Robert Thomas Groves is a registered financial professional currently at HARBOUR INVESTMENTS, INC. located in Appleton, Wisconsin.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Thomas Groves'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

June 3, 1992 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 215 S State Street, Appleton, WI 54915

RIA

CRD#: 19258

Appleton, WI

Past

May 10, 1989 - June 18, 1992

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

April 3, 1989 - May 9, 1989

SHATKIN FINANCIAL SERVICES, INC.

CRD#: 16883

Past

September 20, 1988 - April 6, 1989

J. T. MORAN & CO., INC.

CRD#: 15655

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
(4/15/2011)

California
(1/2/2009)

Colorado
(9/13/1995)

District of Columbia
(10/21/2014)

Florida
(1/5/2012)

Illinois
(3/26/2007)

Massachusetts
(4/12/2024)

Minnesota
(10/24/2005)

North Carolina
(8/21/2015)

Pennsylvania
(2/10/2005)

South Carolina
(3/26/2021)

Virginia
(4/20/1995)

Washington
(9/1/2005)

Wisconsin
(6/3/1992)

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: 9/28/1988

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: 9/17/1988

General Securities 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
CONWELL, SCOTT OWEN	CHIEF COMPLIANCE OFFICER	4238913
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	DIRECTOR OF TRANSITIONS & PARTNERSHIPS	5675560
MEDLAND, RICHARD ONEILL	DIRECTOR OF SUPERVISION	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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Robert T. Groves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Thomas Groves's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROWNCO, LLC

SHATKIN FINANCIAL SERVICES, INC.

J. T. MORAN & CO., INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/28/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

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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