Eric M. Cima

HARBOUR INVESTMENTS

Libertyville, IL 60048

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CRD#: 2154742

Professional summary

Eric Massimo Augusto Cima, who also goes by Eric Massimoaugusto Cima, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Libertyville, Illinois.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Eric has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric Massimoaugusto Cima

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. The Tranel Financial Group - Licensed Assistant. 2. Salaried Employee of 818 Capital Group, LLC Since July 1997. Customer Service/Payroll Company,160 Hours a month during securities trading hours. 3. Independent Insurance Agent which may Include Equity Indexed Annuities 4. Abigator Properties LLLC, Rental Real Estate/Income Property, Owner/Member 8 Hours a month not during securities trading hours 5. Cactus Maximus Properties, LLC, Rental Property, Owner, Non-investment related, 1-10% time spent on activity during securities hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Massimo Augusto Cima's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Eric Massimo Augusto Cima'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 22, 2025 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 1509 N Milwaukee Ave, Libertyville, IL 60048

RIA

CRD#: 19258

Libertyville, IL

Current

October 8, 2025 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 1509 N Milwaukee Ave, Libertyville, IL 60048

RIA

CRD#: 19258

Libertyville, IL

Past

February 2, 2024 - October 2, 2025

TRANEL INTELLIGENT INVESTING, LLC

RIA

CRD#: 328546

LIBERTYVILLE, IL

Past

April 19, 2000 - December 31, 2023

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

LIBERTYVILLE, IL

Past

October 28, 1999 - October 28, 1999

MONEY CONCEPTS CAPITAL CORP

RIA

CRD#: 12963

LIBERTYVILLE, IL

Past

March 6, 1992 - December 31, 2023

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

LIBERTYVILLE, IL

Past

November 21, 1991 - December 18, 1991

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 21, 1991 - December 18, 1991

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

July 25, 1991 - September 26, 1991

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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

IAR

Illinois
(9/22/2025)

Illinois
(10/8/2025)

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: 9/3/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1991

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: 7/23/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/1998

General Securities Principal 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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Eric M. Cima

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Massimo Augusto Cima's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Eric Massimo Augusto Cima's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

TRANEL INTELLIGENT INVESTING, LLC

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

MONEY CONCEPTS CAPITAL CORP

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/3/1999

Series 63

Date: 7/24/1991

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1991

Series 24

Date: 4/9/1998

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

Contact information

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