James W. Pfeil

HARBOUR INVESTMENTS

Elkhorn, WI 53121

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CRD#: 6178469

Professional summary

James Wesley Pfeil, who also goes by Jim Pfeil, is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Elkhorn, Wisconsin.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Pfeil

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) Name of Business: Sierra Financial Services. Non-Investment related. Address: 501 Nathan Lane #4, Elkhorn, WI 53121. Nature of Business: Insurance. Position/Title/Relationship: Advisor. Start Date: 07/01/2018. Hours per month: 40. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Fixed annuities, Insurance - Life, Disability, and LTC Medicare plans. 2) Independent Insurance Agent which may include Equity Indexed Annuities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wesley Pfeil's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Wesley Pfeil'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

November 12, 2020 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 501 Nathan Lane #4, Elkhorn, WI 53121

RIA

CRD#: 19258

Elkhorn, WI

Current

November 12, 2020 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 501 Nathan Lane #4, Elkhorn, WI 53121

RIA

CRD#: 19258

Elkhorn, WI

Past

July 9, 2019 - November 12, 2020

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Elkhorn, WI

Past

July 9, 2019 - November 12, 2020

CALTON & ASSOCIATES, INC.

CRD#: 20999

Elkhorn, WI

Past

July 17, 2018 - July 9, 2019

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

Elkhorn, WI

Past

July 17, 2018 - July 9, 2019

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

Elkhorn, WI

Past

June 24, 2013 - July 19, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Lake Geneva, WI

Past

May 15, 2013 - July 19, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Lake Geneva, 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

Arizona
(2/15/2023)

California
(2/15/2023)

Florida
(11/12/2020)

Illinois
(11/12/2020)

Indiana
(11/12/2020)

Kansas
(11/12/2020)

Michigan
(2/15/2023)

New York
(2/15/2023)

Texas
(4/5/2023)

Wisconsin
(11/12/2020)

IAR

Wisconsin
(11/12/2020)

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: 6/21/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/2013

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

James W. Pfeil

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Wesley Pfeil's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Wesley Pfeil's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/21/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2013

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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