Brock A. Weaver

HARBOUR INVESTMENTS

Elkhart, IN 46514

Some features on this profile are disabled

CRD#: 2962597

Professional summary

Brock Anthony Weaver, CFP® is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Elkhart, Indiana.

Brock is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brock has worked at 4 firms and has passed the Series 66, SIE and Series 7 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) INDEPENDENT INSURANCE AGENT WHICH MAY INCLUDE EQUITY INDEXED ANNUITIES 2) LOUCKS & WEAVER CPA, 719 E BRISTOL ST., ELKHART, IN 46514. BEGAN 04/01/1997 AS PARTNER RESPONSIBLE FOR ACCOUNTING AND TAX SERVICES. NOT INVESTMENT RELATED. DEVOTES 30HR/WK, 4HR/WK DURING TRADE. 3) LOUCKS & WEAVER FINANCIAL 719 E BRISTOL ST ELKHART, IN 46514. BEGAN 10/1/2001 AS OWNER WITH LIFE, ACCIDENT, AND HEALTH INSURANCE AGENT. INDIANA RESIDENT PRODUCER LICENSE. INVESTMENT RELATED. DEVOTED 10 HR/WK. NONE DURING TRADING. 4) NOVAMATIQ INC; 1515 DIVIDEND RD FT WAYNE, IN 46808; INVESTOR IN PRIVATE COMPANY; DEVOTED 10 HR/WK. NONE DURING TRADING. 5) FABX INDUSTRIES; 715 CALLAGHAN ST, MI 48838. BEGAN 1/8/2018 PRIVATE EQUITY INTEREST IN FABRICATED METAL AND MACHINING COMPANY. NOT INVESTMENT RELATED. DEVOTED 2 HR/WK. NONE DURING TRADING. 6) BENCHMARK CPA GROUP,IS NOT INVESTMENT RELATED,,CPA FIRM,PARTNER,2022-10-01,40 HOURS PER MONTH,0 HOURS PER MONTH DURING TRADING HOURS,OTHER COMPENSATION,PARTNER AND SHAREHOLDER 7) MADISON INSURANCE GROUP,IS INVESTMENT RELATED,"STE 2 #405 ESMERALDA AVE, PMB 338, GUAYNABO, PR, 00969, UNITED STATES",ENTERPRISE RISK INSURANCE,INDEPENDENT AGENT,2022-11-01,2 HOURS PER MONTH,0 HOURS PER MONTH DURING TRADING HOURS,COMMISSION COMPENSATION,ASSIST BUSINESS OWNERS WITH ENTERPRISE RISK MANAGEMENT 8) DOCKLINE CORPORATION,IS NOT INVESTMENT RELATED,"9540 BROWNS BRIDGE RD, , GAINESVILLE, GA, 30506, UNITED STATES",DOCKS FOR MARINAS,NONE,6/5/2025,0 HOURS PER MONTH,0 HOURS PER MONTH DURING TRADING HOURS,NO COMPENSATION COMPENSATION,PASSIVE INVESTMENT IN PRIVATE C CORPORATION IN GEORGIA

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Anthony Weaver's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brock Anthony Weaver'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®

CFP^®

Certified Financial Planner

Start date: 2000

Experience

Current

November 3, 2015 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 719 E Bristol St, Elkhart, IN 46514

RIA

CRD#: 19258

Elkhart, IN

Current

October 30, 2015 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 719 E Bristol St, Elkhart, IN 46514

RIA

CRD#: 19258

Elkhart, IN

Past

August 20, 2009 - November 6, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ELKHART, IN

Past

September 30, 2005 - November 26, 2018

LOUCKS & WEAVER FINANCIAL, INC.

RIA

CRD#: 121603

ELKHART, IN

Past

November 6, 1997 - August 20, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

ELKHART, IN

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

Arizona
(10/30/2015)

California
(10/30/2015)

Colorado
(10/30/2015)

District of Columbia
(11/25/2015)

Florida
(10/30/2015)

Illinois
(10/30/2015)

Indiana
(10/30/2015)

IAR

Indiana
(11/3/2015)

Michigan
(10/30/2015)

New Mexico
(12/12/2022)

North Carolina
(10/30/2015)

Ohio
(9/6/2016)

South Carolina
(10/30/2015)

Tennessee
(9/6/2016)

Texas
(9/6/2016)

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 66

Date: 10/31/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/1997

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)

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

Jacob Kersey

CHOREO, LLC

IAR

Mishawaka, IN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brock A. Weaver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Anthony Weaver's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brock Anthony Weaver's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

LOUCKS & WEAVER FINANCIAL, INC.

MUTUAL SERVICE CORPORATION

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/1997

SIE

Date: 10/1/2018

Series 7

Date: 11/4/1997

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

Similar Advisors