Kim D. Wooden

HARBOUR INVESTMENTS

NILES, MI 49120

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CRD#: 3073838

Professional summary

Kim Diane Wooden, who also goes by Kim Diane Sorley, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Niles, Michigan.

Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kim has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kim Diane Sorley

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) Wooden Accounting - Position: Owner - Investment Related: No - Hours: 3 - Securities Trading Hours: 3 - Start Date: 1/2003 - Address: 303 East Main Street, Niles MI 49120 2) Indiana University South Bend - Position: Part-time professor - Nature: adjunct professor - Investment Related: No - Hours: 12 - Securities Trading Hours: 6 - Start Date: 8/1995 - Address: 1700 West Mishawaka Ave, South Bend IN 46615 3) Independent Insurance Agent which may include Equity Indexed Annuities 4) Indiana Univ South Bend, Senate Executive Committee, 1700 Mishawaka Ave South Bend, IN 46634, 09/2016 - Present. 5) Indiana University South Bend,Is Not Investment Related,,Education,Adjunct Professor,2023-06-26,20 hours per month,0 hours per month during trading hours,Other Compensation,I receive teaching contracts each semester to teach Macro and Micro Economics to students of IUSB

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kim Diane Wooden's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Kim Diane Wooden'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 5, 2021 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 210 East Main St, Niles, MI 49120Office #2: 303 N Broadway St, Cassopolis, MI 49031

RIA

CRD#: 19258

NILES, MI

Current

May 20, 2016 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 210 East Main St, Niles, MI 49120Office #2: 303 N Broadway St, Cassopolis, MI 49031

RIA

CRD#: 19258

NILES, MI

Past

December 18, 2015 - January 6, 2021

COMPASS FINANCIAL ADVISORS LLC

RIA

CRD#: 109131

Niles, MI

Past

November 30, 2015 - May 25, 2016

SECURITIES AMERICA, INC.

CRD#: 10205

GRANGER, IN

Past

January 21, 1999 - December 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

NILES, MI

Past

January 19, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 19, 1999 - December 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

NILES, MI

Past

September 10, 1998 - January 12, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

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

Florida
(5/20/2016)

Georgia
(8/6/2019)

Illinois
(5/20/2016)

Indiana
(5/20/2016)

Michigan
(5/20/2016)

IAR

Michigan
(1/5/2021)

Ohio
(5/20/2016)

Wisconsin
(9/8/2025)

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 66

Date: 9/20/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/1/1998

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: 9/8/1998

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
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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Kim D. Wooden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kim Diane Wooden's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Kim Diane Wooden's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

COMPASS FINANCIAL ADVISORS LLC

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IFMG SECURITIES, INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2010

Series 63

Date: 10/1/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/8/1998

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

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