Todd S Mccaffray, CFP | Financial Professional | Edmonds, Washington

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Disclosures on record.

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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Credentials

CFP®

Certified Financial PlannerSince 2022

Years of Experience

12 years registered in the securities industry

Current & Past Employments

Current

HARBOUR INVESTMENTS, INC.Current·CRD# 19258

RIA

BD

120 5th Ave S. #b, Edmonds, WA 98020

July 13, 2022 - Present

HARBOUR INVESTMENTS, INC.Current·CRD# 19258

RIA

BD

120 5th Ave S. #b, Edmonds, WA 98020

July 13, 2022 - Present

Past

KESTRA ADVISORY SERVICES, LLCPast·CRD# 283330

RIA

Seattle, WA

February 4, 2020 - July 8, 2022

KESTRA INVESTMENT SERVICES, LLCPast·CRD# 42046

BD

Seattle, WA

September 20, 2017 - July 8, 2022

EQUITY SERVICES, INC.Past·CRD# 265

BD

Montpelier, VT

September 17, 2014 - February 27, 2017

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Current Firm

HI

HARBOUR INVESTMENTS, INC.

1ST RATE WEALTH MANAGEMENT (BRANCH MANAGER - MIKE PEAT) | DEREMER AGENCY (BRANCH MANAGER - DANIEL DEREMER) | DEPREZ FINANCIAL SERVICES | DENALI WEALTH MANAGEMENT | DELEGGE FINANCIAL SERVICES, INC. | D. D. CARLSON FINANCIAL GROUP, INC. | CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS | CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME | CZUKAS, MCCALL & ASSOCIATES (BRANCH MANAGER - JOSEPH CZUKAS) | CZUKAS, MCCALL & ASSOC., INC. | CRUBEL FINANCIAL SERVICES (BRANCH MANAGER - DOUG CRUBEL) | CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN | CRISPIGNA FINANCIAL SERVICES - OWEN DEPREZ | CRISPIGNA FINANCIAL SERVICES - KACY ALLEN | CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ | CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA | CRISPIGNA FINANCIAL SERVICES (BRANCH MANAGER - STEVE CRISPIGNA) | CREATIVE WEALTH PARTNERS, LLC (BRANCH MANAGER - GEORGE ZECK) | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC - BRADLEY SAURBAUGH | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC (BRANCH MANAGER - JOHN MICHALAK) | CORNERSTONE WEALTH MANAGEMENT (BRANCH MANAGER - JOSHUA RYAN) | CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY | CORNERSTONE FINANCIAL PLANNING (BRANCH MANAGER - KEITH WICKLUND) | COORDINATED FINANCIAL SERVICES | CONFER FINANCIAL SERVICES | CLEARSTEP FINANCIAL - CASSANDRA BRASHIER | CLEARSTEP FINANCIAL - ADAM HUB | CLEARSTEP FINANCIAL (BRANCH MANAGER - CARLA ZEVNIK SEUFZER) | CHARLES DAVID LANDIS | CBB INVESTMENT CENTER | CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE | CATANZARITE FINANCIAL SERVICES (BRANCH MANAGER - JOE CATANZARITE) | CASTLE FINANCIAL, LLC - TODD THOMPSON | CASTLE FINANCIAL, LLC - JESSE MELICHAR | CARRIE L. COLE | CAPSTONE FINANCIAL ADVISORS | CAPITOL SOLUTIONS, INC. | CAPITAL WEALTH ADVISORS LTD | CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS | CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE | CAPITAL SEASONS WEALTH MANAGEMENT (BRANCH MANAGER - STEPHANIE EHR) | CAPITAL INVESTMENT SERVICES | CAPITAL FINANCIAL SERVICES | CAPITAL FINANCIAL GROUP (BRANCH MANAGER - DONALD GROSS) | CAMELBACK WEALTH MANAGEMENT - MEGAN WELLS | CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI | CAMELBACK WEALTH MANAGEMENT (BRANCH MANAGER - MARK HERDING) | CADE FINANCIAL SERVICES - TRAVIS GASKELL | CADE FINANCIAL SERVICES - BEAU SCHROEDER | CADE FINANCIAL SERVICES (BRANCH MANAGER - AARON CADE) | BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON | BUTORAC, JOHNSON & ASSOCIATES (BRANCH MANAGER - JOSEPH BUTORAC) | BUSINESS & ESTATE ADVANTAGES | BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE | BURNS BROTHERS FINANCIAL GROUP | BRUNER FINANCIAL SERVICES, INC (BRANCH MANAGER - KEVIN BRUNER) | BROOKHILL FINANCIAL, LLC | BRIDGEPORT INVESTMENTS | BRANDT WEALTH ADVISORS - PHILIP BRANDT | BRAD BARNETT | BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS | BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT | BOUTIQUE WEALTH MANAGEMENT (BRNACH MANAGER - JOHN BODDEN) | BODIN FINANCIAL SERVICES (BRANCH MANAGER - THOMAS BODIN) | BLOCK FINANCIAL LLC - MARK KROLL | BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS | BEST INVESTING & TAX - (BRANCH MANAGER - BELINDA BEST) | BENCHMARK FINANCIAL ADVISORS, LLC | BEN CAIN & ASSOCIATES (BRANCH MANAGER - VALERIE MILLER) | BEN C. KAUFMANN (BRANCH MANAGER - BEN KAUFMANN) | BEACON WEALTH MANAGEMENT - RYAN SCHMID | BEACON WEALTH ADVISORS - RACHEL HOOK | BEACON WEALTH ADVISORS - JOSHUA PRATT | BEACON WEALTH ADVISORS (BRANCH MANAGER - CHRIS MORGAN) | AVILA WEALTH MANAGEMENT - MADELINE SCHALIG | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - KIMBERLY SCHREIBER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - CASSANDRA BRASHIER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - ADAM HUB) | ASCENT FINANCIAL | ASCENDANT WEALTH MANAGEMENT (BRANCH MANAGER - TREVOR CONTI) | ARNOLD AND COMPANY | ALONGI SANTAS FINANCIAL - MARTIN NIELSEN | ALONGI SANTAS FINANCIAL - HENRY CLEMENT | ALONGI SANTAS FINANCIAL (BRANCH MANAGER - DAVID DISTEFANO) | AHLERS & STOLL WEALTH MANAGEMENT (BRANCH MANAGER - PAM AHLERS) | AERIE PREFERRED FINANCIAL GROUP (BRANCH MANAGER - LAURIE ELLIS MCLEOD) | 3 RIVERS INVESTMENT ADVISORS LLC (BRANCH MANAGER - GREG VOLITICH)...

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

232

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (3/31/2026)

WRAP FEE PROGRAM (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
CONWELL, SCOTT OWEN	CHIEF COMPLIANCE OFFICER	4238913
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	DIRECTOR OF TRANSITIONS & PARTNERSHIPS	5675560
MEDLAND, RICHARD ONEILL	DIRECTOR OF SUPERVISION	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

44,629

AUM (Assets Under Management)

$9,599,102,688

Disclosures

Regulatory Event

3

Bond

6

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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)Edmonds Financial Group, LLC - DBA Koenig Financial Group 2)Independent Insurance Agent, which may include selling Fixed Index Annuities, as well as other lines of insurance through various insurance carriers

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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".

HI

HARBOUR INVESTMENTS, INC.

1ST RATE WEALTH MANAGEMENT (BRANCH MANAGER - MIKE PEAT) | DEREMER AGENCY (BRANCH MANAGER - DANIEL DEREMER) | DEPREZ FINANCIAL SERVICES | DENALI WEALTH MANAGEMENT | DELEGGE FINANCIAL SERVICES, INC. | D. D. CARLSON FINANCIAL GROUP, INC. | CZUKAS, MCCALL & ASSOCIATES - JOHN CZUKAS | CZUKAS, MCCALL & ASSOCIATES - ANDREW SALEMME | CZUKAS, MCCALL & ASSOCIATES (BRANCH MANAGER - JOSEPH CZUKAS) | CZUKAS, MCCALL & ASSOC., INC. | CRUBEL FINANCIAL SERVICES (BRANCH MANAGER - DOUG CRUBEL) | CRISPIGNA FINANCIAL SERVICES - PHILLIP PETERSEN | CRISPIGNA FINANCIAL SERVICES - OWEN DEPREZ | CRISPIGNA FINANCIAL SERVICES - KACY ALLEN | CRISPIGNA FINANCIAL SERVICES - GERARD DEPREZ | CRISPIGNA FINANCIAL SERVICES - BRIAN CRISPIGNA | CRISPIGNA FINANCIAL SERVICES (BRANCH MANAGER - STEVE CRISPIGNA) | CREATIVE WEALTH PARTNERS, LLC (BRANCH MANAGER - GEORGE ZECK) | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC - BRADLEY SAURBAUGH | CORNERSTONE WEALTH MANAGEMENT PARTNERS, LLC (BRANCH MANAGER - JOHN MICHALAK) | CORNERSTONE WEALTH MANAGEMENT (BRANCH MANAGER - JOSHUA RYAN) | CORNERSTONE FINANCIAL PLANNING - NOAH TRUMPY | CORNERSTONE FINANCIAL PLANNING (BRANCH MANAGER - KEITH WICKLUND) | COORDINATED FINANCIAL SERVICES | CONFER FINANCIAL SERVICES | CLEARSTEP FINANCIAL - CASSANDRA BRASHIER | CLEARSTEP FINANCIAL - ADAM HUB | CLEARSTEP FINANCIAL (BRANCH MANAGER - CARLA ZEVNIK SEUFZER) | CHARLES DAVID LANDIS | CBB INVESTMENT CENTER | CATANZARITE FINANCIAL SERVICES - ANTHONY CATANZARITE | CATANZARITE FINANCIAL SERVICES (BRANCH MANAGER - JOE CATANZARITE) | CASTLE FINANCIAL, LLC - TODD THOMPSON | CASTLE FINANCIAL, LLC - JESSE MELICHAR | CARRIE L. COLE | CAPSTONE FINANCIAL ADVISORS | CAPITOL SOLUTIONS, INC. | CAPITAL WEALTH ADVISORS LTD | CAPITAL SEASONS WEALTH MANAGEMENT - JOSH FLANDERS | CAPITAL SEASONS WEALTH MANAGEMENT - BARBARA WITTE | CAPITAL SEASONS WEALTH MANAGEMENT (BRANCH MANAGER - STEPHANIE EHR) | CAPITAL INVESTMENT SERVICES | CAPITAL FINANCIAL SERVICES | CAPITAL FINANCIAL GROUP (BRANCH MANAGER - DONALD GROSS) | CAMELBACK WEALTH MANAGEMENT - MEGAN WELLS | CAMELBACK WEALTH MANAGEMENT - JENNIFER GORALSKI | CAMELBACK WEALTH MANAGEMENT (BRANCH MANAGER - MARK HERDING) | CADE FINANCIAL SERVICES - TRAVIS GASKELL | CADE FINANCIAL SERVICES - BEAU SCHROEDER | CADE FINANCIAL SERVICES (BRANCH MANAGER - AARON CADE) | BUTORAC, JOHNSON & ASSOCIATES - TYLER JOHNSON | BUTORAC, JOHNSON & ASSOCIATES (BRANCH MANAGER - JOSEPH BUTORAC) | BUSINESS & ESTATE ADVANTAGES | BUSBEE WEALTH STRATEGIES, LLC - JEFFREY BUSBEE | BURNS BROTHERS FINANCIAL GROUP | BRUNER FINANCIAL SERVICES, INC (BRANCH MANAGER - KEVIN BRUNER) | BROOKHILL FINANCIAL, LLC | BRIDGEPORT INVESTMENTS | BRANDT WEALTH ADVISORS - PHILIP BRANDT | BRAD BARNETT | BOUTIQUE WEALTH MANAGEMENT - JENNIFER HIPKISS | BOUTIQUE WEALTH MANAGEMENT - COLLEEN WOLBERT | BOUTIQUE WEALTH MANAGEMENT (BRNACH MANAGER - JOHN BODDEN) | BODIN FINANCIAL SERVICES (BRANCH MANAGER - THOMAS BODIN) | BLOCK FINANCIAL LLC - MARK KROLL | BEVERLY HICKS & ASSOCIATES - BEVERLY HICKS | BEST INVESTING & TAX - (BRANCH MANAGER - BELINDA BEST) | BENCHMARK FINANCIAL ADVISORS, LLC | BEN CAIN & ASSOCIATES (BRANCH MANAGER - VALERIE MILLER) | BEN C. KAUFMANN (BRANCH MANAGER - BEN KAUFMANN) | BEACON WEALTH MANAGEMENT - RYAN SCHMID | BEACON WEALTH ADVISORS - RACHEL HOOK | BEACON WEALTH ADVISORS - JOSHUA PRATT | BEACON WEALTH ADVISORS (BRANCH MANAGER - CHRIS MORGAN) | AVILA WEALTH MANAGEMENT - MADELINE SCHALIG | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - KIMBERLY SCHREIBER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - CASSANDRA BRASHIER) | AVILA WEALTH MANAGEMENT (BRANCH MANAGER - ADAM HUB) | ASCENT FINANCIAL | ASCENDANT WEALTH MANAGEMENT (BRANCH MANAGER - TREVOR CONTI) | ARNOLD AND COMPANY | ALONGI SANTAS FINANCIAL - MARTIN NIELSEN | ALONGI SANTAS FINANCIAL - HENRY CLEMENT | ALONGI SANTAS FINANCIAL (BRANCH MANAGER - DAVID DISTEFANO) | AHLERS & STOLL WEALTH MANAGEMENT (BRANCH MANAGER - PAM AHLERS) | AERIE PREFERRED FINANCIAL GROUP (BRANCH MANAGER - LAURIE ELLIS MCLEOD) | 3 RIVERS INVESTMENT ADVISORS LLC (BRANCH MANAGER - GREG VOLITICH)...

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

BD

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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(10/6/2025)

RR

California
(10/6/2025)

RR

Colorado
(10/6/2025)

RR

Florida
(10/6/2025)

RR

Maryland
(10/6/2025)

RR

Missouri
(10/6/2025)

RR

Montana
(10/6/2025)

RR

Nevada
(10/6/2025)

RR

New York
(10/6/2025)

RR

Ohio
(10/7/2025)

RR

Oregon
(10/6/2025)

RR

South Carolina
(10/6/2025)

RR

Texas
(10/6/2025)

RR

Utah
(10/6/2025)

RR

Washington
(7/13/2022)

IAR

Washington
(7/13/2022)

RR

Wisconsin
(10/6/2025)

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.