Aalok K. Shah

HARBOUR INVESTMENT MANAGEMENT L.L.C.

Edmonds, WA 98020-8442

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CRD#: 3244464

Professional summary

Aalok Kirit Shah, CFP® is a registered financial advisor currently at HARBOUR INVESTMENT MANAGEMENT L.L.C. located in Edmonds, Washington and ZUNA, LLC located in Portland, Oregon.

Aalok is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Aalok has worked at 6 firms and has passed the Series 65, Series 63, Series 87, Series 86 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aalok Kirit Shah'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: 2019

Experience

Current

July 21, 2017 - Present

HARBOUR INVESTMENT MANAGEMENT L.L.C.

Office #1: 152 3rd Ave S Suite 103b, Edmonds, WA 98020-8442

RIA

CRD#: 111166

Edmonds, WA

Current

February 19, 2020 - Present

ZUNA, LLC

Office #1: 3903 S Kelly Ave, Portland, OR 97239

RIA

CRD#: 306113

Portland, OR

Past

August 4, 2016 - December 18, 2018

NORTHWEST CAPITAL MANAGEMENT INC.

RIA

CRD#: 108091

PORTLAND, OR

Past

March 5, 2008 - July 15, 2013

D.A. DAVIDSON & CO.

CRD#: 199

LAKE OSWEGO, OR

Past

May 14, 2007 - March 20, 2008

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

April 5, 2005 - May 4, 2007

D.A. DAVIDSON & CO.

CRD#: 199

LAKE OSWEGO, OR

Past

January 2, 2000 - February 15, 2005

PACIFIC CREST SECURITIES LLC

CRD#: 6619

PORTLAND, OR

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 INVESTMENT MANAGEMENT L.L.C.

CRD#: 111166 / SEC#: 801-39540

RIA

Registered Investment Advisory firm - (7/24/1991 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Oregon
(10/8/2019)

IAR

Texas
(2/10/2020)

IAR

Washington
(7/21/2017)

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

IAR

Series 65

Date: 8/4/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/28/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 2/11/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 1/7/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 12/29/1999

General Securities Representative Examination

Current Firm

HARBOUR INVESTMENT MANAGEMENT L.L.C.

CRD#: 111166 / SEC#: 801-39540

RIA

Registered Investment Advisory firm - (7/24/1991 Approved)

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Contact information

Main Address

152 3rd Ave S Suite 103b, Edmonds, WA 98020-8442

Mailing Address

Phone number

(425) 742-1557

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (2/18/2025)

Regulatory assets under management

Total Number of Accounts	564
AUM (Assets Under Management)	$ 470,591,159

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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Firm Stability Insights

Aalok K. Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aalok Kirit Shah's CRS (Customer Relationship Summary).

Certified licenses

Experience

ZUNA, LLC

NORTHWEST CAPITAL MANAGEMENT INC.

D.A. DAVIDSON & CO.

CREDIT SUISSE SECURITIES (USA) LLC

D.A. DAVIDSON & CO.

PACIFIC CREST SECURITIES LLC

Primary Firm SEC Registration

HARBOUR INVESTMENT MANAGEMENT L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2016

Series 63

Date: 9/28/2001

Series 87

Date: 2/11/2005

Series 86

Date: 1/7/2005

Series 7

Date: 12/29/1999

Current Firm

HARBOUR INVESTMENT MANAGEMENT L.L.C.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOUR INVESTMENT MANAGEMENT L.L.C.

TRUST BUT VERIFY

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