Appleton, WI E Northland Avenue Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Harbour Investments, Inc.
Multi-team
Firm-wide stats for Harbour Investments, Inc.
About
Harbour serves a broad mix of individual clients (including non‑HNW and high‑net‑worth), trusts, pension and 401(k) plans, and other institutional and corporate entities. The firm provides discretionary and non‑discretionary portfolio management, financial planning and consultation, wrap‑fee programs, third‑party manager relationships, and participant (held‑away) account management.
Investment approach and implementation vary by adviser and manager: individual IARs may use fundamental or technical analysis while Harbour’s approved third‑party managers employ a range of approaches (including modeling, macroeconomic analysis, and modern portfolio theory). Accounts are monitored on an ongoing basis with formal reviews at least annually, and clients can access multiple execution pathways including wrap programs, third‑party manager platforms, and Harbour’s traded‑model platform offered to advisors.
Harbour also operates as a FINRA‑registered broker‑dealer and discloses that many IARs are dually registered, so the firm both sells commission‑based products and provides advisory services; it also receives 12b‑1 and other sponsor compensation and details those arrangements and related conflicts in its brochure. The firm’s regulatory history includes an SEC consent order addressing marketing agreement compensation and disclosures, which the firm discloses and incorporates into its conflict‑of‑interest discussions.
Based on Harbour Investments, Inc.
Location
1920 E Northland Avenue
Appleton WI 54911
Advisors at this office
4
Advisors at this office
Kyle S
Series 63, Series 65
Appleton, WI
Harbour Investments, Inc.
Kyle St Marie is a financial advisor with Harbour Investments, Inc. and Planning Concepts, Inc., holding Series 63 and Series 65 licenses and bringing five years of industry experience. Prior to his current roles, he worked at ATT for ten years. He is also an independent insurance agent. Harbour Investments serves a diverse client base including individuals, trusts, pension and 401(k) plans, and institutional entities, offering a range of portfolio management and financial planning services tailored to individual adviser approaches and client needs.
Kevin T
Series 63, Series 65
Appleton, WI
Harbour Investments, Inc.
Kevin Tobak is a financial advisor at Harbour Investments, Inc. in Appleton, WI, holding Series 63 and Series 65 licenses with 29 years of industry experience. He has been associated with both Planning Concepts and Harbour Investments since 1999. Harbour Investments serves a diverse client base including individual investors, trusts, pension and 401(k) plans, and institutional entities. The firm offers a range of investment services such as portfolio management, financial planning, and third-party manager relationships, utilizing various investment approaches tailored to client needs.
Randall S
CFP®, Series 63
Appleton, WI
Harbour Investments, Inc.
Randall Schmitz is a CFP® with 40 years of industry experience, currently affiliated with Harbour Investments, Inc. since 1990. He has also been involved with Planning Concepts, Inc. since 1991 and previously worked at Playmates Daycare for ten years. Outside of his advisory role, he is a licensed real estate broker and provides tax preparation services. Harbour Investments, Inc. offers investment advisory and financial planning services to a diverse client base, including individual investors, charitable and corporate clients, and retirement plans. The firm employs both fundamental and technical analysis to create customized investment strategies and provides model-based solutions through a subscription platform.
Kerry D
Series 63, Series 65
Appleton, WI
Harbour Investments, Inc.
Kerry Davis is a financial advisor with Harbour Investments, Inc. in Appleton, WI, holding Series 63 and Series 65 credentials and bringing 33 years of industry experience. He has worked continuously since 1993 at both Harbour Investments and Planning Concepts Inc. Outside of his advisory role, Davis is also an independent insurance agent and involved with Gasman Enterprises. Harbour Investments provides investment advisory and financial planning services to a diverse client base, including individual investors, charitable and corporate clients, and retirement plans. The firm uses a combination of fundamental and technical analysis to develop customized strategies across a variety of investment vehicles and offers model-based solutions through a subscription platform.
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