Patrick C. Fosdick

HARBOUR INVESTMENTS

Sun Prairie, WI 53590

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CRD#: 5604969

Professional summary

Patrick Charles Fosdick, CFP® is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Sun Prairie, Wisconsin and WISCONSIN WEALTH ADVISORS, LLC located in Sun Prairie, Wisconsin.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Patrick has worked at 3 firms and has passed the Series 65, Series 63, 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) MADISON SPORTS AND SOCIAL CLUB; MADISON WI; PRESIDENT/OWNER; SCHEDULING, BOOKKEEPING, AND WEBSITE UPKEEP; 80 HOURS/MONTH; NON-INVESTMENT RELATED. 2) INDEPENDENT INSURANCE AGENT WHICH MAY INCLUDE EQUITY INDEXED ANNUITIES. 3) HARBOUR INVESTMENTS, INC; INV REL; MADISON, WI; REG REP/IAR; START 10/2016; APPROX 15% OF TIME. 4) PROVIDENCE SQUARE UNIT OWNERS ASSOCIATION,IS NOT INVESTMENT RELATED,,CONDO MANAGEMENT,AT-LARGE BOARD MEMBER,2023-11-16,1 HOURS PER MONTH,0 HOURS PER MONTH DURING TRADING HOURS,NO COMPENSATION COMPENSATION,"SERVE AS AT-LARGE MEMBER ON CONDO BOARD TO DISCUSS ISSUES RELATED TO CONDO BUILDINGS - MAINTENANCE, LAWN CARE, BUILDING IMPROVEMENTS, ETC." 5) WWA TAX SERVICES LLC; NOT INV REL; MADISON, WI; OWNER/TAX PREPARER; START 11/2024; APPRX 10 HRS/MO; 8 HRS DURING SEC TRADING. 6) WISCONSIN WEALTH ADVISORS,IS INVESTMENT RELATED,"1777 W MAIN ST STE 203, , SUN PRAIRIE, WI, 53590, UNITED STATES",REGISTERED INVESTMENT ADVISOR,FINANCIAL ADVISOR,11/1/2024,140 HOURS PER MONTH,120 HOURS PER MONTH DURING TRADING HOURS,FEE BASED COMPENSATION,I SERVE AS AN INVESTMENT ADVISOR REPRESENTATIVE AND ASSIST CLIENTS WITH INVESTMENTS AND FINANCIAL PLANNING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Charles Fosdick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Patrick Charles Fosdick'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

October 21, 2016 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 1777 W. Main Street Suite 203, Sun Prairie, WI 53590

RIA

CRD#: 19258

Sun Prairie, WI

Current

November 11, 2024 - Present

WISCONSIN WEALTH ADVISORS, LLC

Office #1: 1777 West Main Street Suite 203, Sun Prairie, WI 53590

RIA

CRD#: 145946

Sun Prairie, WI

Current

October 21, 2016 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 1777 W. Main Street Suite 203, Sun Prairie, WI 53590

RIA

CRD#: 19258

Sun Prairie, WI

Past

January 20, 2015 - October 27, 2016

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

MADISON, WI

Past

October 25, 2011 - October 27, 2016

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

MADISON, WI

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

New Jersey
(7/5/2022)

Wisconsin
(10/21/2016)

IAR

Wisconsin
(10/21/2016)

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 65

Date: 11/3/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/2011

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: 10/24/2011

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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Firm Stability Insights

Patrick C. Fosdick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Charles Fosdick's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Patrick Charles Fosdick's CRS (Customer Relationship Summary).

Certified licenses

Experience

WISCONSIN WEALTH ADVISORS, LLC

HARBOUR INVESTMENTS, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2014

Series 63

Date: 12/28/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2011

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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