An Independent Broker Dealer
Harbour was founded in 1987, in the beautiful city of Madison, Wisconsin by President and CEO, Nick Sondel. Harbour has grown at a steady and manageable pace each year with current revenues exceeding more than $30 million annually. Harbour has a net capital of 8-10 times the required amount. We currently serve approximately 200 Investment Representatives located in 14 states.
Our Culture and Philosophy
When Nick Sondel established Harbour, he envisioned a broker/dealer that truly was different from all the others. One that values strong working relationships, loyalty, personal connections, honesty, and integrity. One that gives flexibility for our representatives to run their businesses the way they see fit within the confines of prudent investing. Through our office visits, conferences, regional meetings, annual tropical getaway and other gatherings, we make it a point to get to know our representatives and their businesses. At Harbour, we take great pride in our honest, straightforward, no-nonsense approach to business. We deal with our representatives the way we expect them to deal with their clients.
We are a privately held firm without the presence of an insurance company or other affiliations. Our representatives are independent contractors, not employees of the firm. Harbour's home office serves as the OSJ for the majority of our branch offices.
The representatives we attract take a long-term approach to managing their businesses—from their client relationships to their affiliation with Harbour. They may utilize a variety of investment solutions to best serve their clients including mutual funds, variable annuities, individual stocks, bonds, advisory services or fixed insurance products. But they all have a similar goal in mind—a properly balanced portfolio designed for their clients’ long-term financial success.
Our principals have an average of 13 years of industry experience. With diverse backgrounds and knowledge, our support teams will help you transact business efficiently and accurately. The home office staff is cross-trained, seasoned in back office operations and well informed on the industry as a whole. We encourage our representatives to call us with any questions.
Harbour Investments concentrates on common sense compliance. Our compliance department focuses on trouble prevention, not sales prevention. We start by bringing on quality representatives with outstanding compliance records. That allows us to be pro-active and to stay ahead of constantly changing regulations. We strive for approval within 24-hours for your retail communications. Since we know our representatives personally, our decisions are conscientious as we know how they affect you and your business.