SD
Simrin K. Dhillon
HARBOR CAPITAL ADVISORS
Chicago, IL 60606-4302
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CRD#: 6656438
SD
Professional summary
Simrin Kaur Dhillon, who also goes by Simrin K Dhillon, is a registered financial advisor currently at HARBOR CAPITAL ADVISORS, INC. located in Chicago, Illinois and HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois.
Simrin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Simrin has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Simrin K Dhillon
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.
CRS (Client Relationship Summary) - RIA
Click below to view Simrin Kaur Dhillon's 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®
NoneExperience
Current
August 2, 2024 - Present
HARBOR CAPITAL ADVISORS, INC.
Office #1: 111 South Wacker Drive 34th Floor, Chicago, IL 60606-4302RIA
CRD#: 113042
Chicago, IL
Current
August 2, 2024 - Present
HARBOR FUNDS DISTRIBUTORS, INC.
Office #1: 111 South Wacker Drive 34th Floor, Chicago, IL 60606BD
CRD#: 113506
Chicago, IL
Past
September 2, 2022 - July 12, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Chicago, IL
Past
September 2, 2022 - July 12, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Chicago, IL
Past
June 3, 2019 - June 10, 2022
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 111135
Highland Park, IL
Past
January 18, 2019 - June 10, 2022
MESIROW FINANCIAL, INC.
BD
CRD#: 2764
HIGHLAND PARK, IL
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".
HC
HARBOR CAPITAL ADVISORS, INC.
BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.
CRD#: 113042 / SEC#: 801-60367
RIA
Registered Investment Advisory firm - (6/7/2001 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.RR
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
RR
Alabama(8/2/2024)
RR
Alaska(8/2/2024)
RR
Arizona(8/2/2024)
RR
Arkansas(8/2/2024)
RR
California(8/2/2024)
RR
Colorado(8/2/2024)
RR
Connecticut(8/2/2024)
RR
Delaware(8/2/2024)
RR
District of Columbia(8/2/2024)
RR
Florida(8/2/2024)
RR
Georgia(8/2/2024)
RR
Hawaii(8/2/2024)
RR
Idaho(8/2/2024)
RR
Illinois(8/2/2024)
IAR
Illinois(8/2/2024)
RR
Indiana(8/2/2024)
RR
Iowa(8/2/2024)
RR
Kansas(8/2/2024)
RR
Kentucky(8/2/2024)
RR
Louisiana(8/2/2024)
RR
Maine(8/2/2024)
RR
Maryland(8/2/2024)
RR
Massachusetts(8/2/2024)
RR
Michigan(8/2/2024)
RR
Minnesota(8/2/2024)
RR
Mississippi(8/2/2024)
RR
Missouri(8/2/2024)
RR
Montana(8/2/2024)
RR
Nebraska(8/2/2024)
RR
Nevada(8/2/2024)
RR
New Hampshire(8/2/2024)
RR
New Jersey(8/2/2024)
RR
New Mexico(8/2/2024)
RR
New York(8/2/2024)
RR
North Carolina(8/2/2024)
RR
North Dakota(8/2/2024)
RR
Ohio(8/2/2024)
RR
Oklahoma(8/2/2024)
RR
Oregon(8/2/2024)
RR
Pennsylvania(8/2/2024)
RR
Puerto Rico(8/2/2024)
RR
Rhode Island(8/2/2024)
RR
South Carolina(8/2/2024)
RR
South Dakota(8/2/2024)
RR
Tennessee(8/2/2024)
RR
Texas(8/2/2024)
RR
Utah(8/2/2024)
RR
Vermont(8/2/2024)
RR
Virgin Islands(8/2/2024)
RR
Virginia(8/2/2024)
RR
Washington(8/2/2024)
RR
West Virginia(8/2/2024)
RR
Wisconsin(8/2/2024)
RR
Wyoming(8/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/18/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HC
HARBOR CAPITAL ADVISORS, INC.
BLADE CAPITAL ADVISORS, INC. | HARBOR CAPITAL ADVISORS, INC.
CRD#: 113042 / SEC#: 801-60367
RIA
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Contact information
Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606-4302
Mailing Address
Phone number
(312) 443-4400
Established
Firm type
Fiscal year end
# of Employees
236
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 64,793,443,492 |
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.
