Derek R. Roe

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CRD#: 5641252

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Derek Raymond Roe, who also goes by Derek R Roe, was a registered financial professional .

Derek is a previously registered financial professional and started their career in finance in 2010. Derek had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Derek R Roe

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 1, 2016 - March 6, 2018

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MENOMONEE FALLS, WI

Past

October 3, 2014 - July 29, 2016

OSAIC SERVICES, INC.

CRD#: 133763

DELAFIELD, WI

Past

March 25, 2014 - October 3, 2014

SII INVESTMENTS, INC.

CRD#: 2225

DELAFIELD, WI

Past

October 1, 2012 - February 28, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

WATERTOWN, WI

Past

October 6, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WATERTOWN, WI

Past

February 8, 2010 - May 28, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

WATERTOWN, 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/28/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/6/2010

Investment Company Products/Variable Contracts Representative Examination

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

Derek R. Roe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC SERVICES, INC.

SII INVESTMENTS, INC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/28/2010

SIE

Date: 3/6/2018

Series 7

Date: 10/3/2016

Series 6

Date: 2/6/2010

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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