Stephen Smith
Stephen Smith is a ChFC-designated registered investment advisor at Harbour Investments, INC., based in Madison, WI, with 43 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 4 more. Their firm serves 30,309 clients with $9.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Maximum management fee is 2.0% of assets under management. Fees are negotiated between the client and representative. Third-party manager programs range from 0.25% to 2.50% total annual fees.
Fee Estimator
Location
5940 Seminole Centre Ct, Suite 210, Madison, WI, 53711
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen is an independent insurance agent, potentially selling equity-indexed annuities. He is also a career agent with Ohio National Life Insurance Company since 2015, focusing on non-variable insurance, taking about half of Stephen's time.
Employment History
Current Registrations
Harbour Investments, INC.Broker
Harbour Investments, INC.
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
The O.N. Equity Sales CompanyBroker
New England SecuritiesBroker
New England SecuritiesBroker
Pruco Securities CorporationBroker
Penn Mutual Equity Services, INC.Broker
Wfg Securities CorporationBroker
Penn Mutual Equity Services, INC.Broker
Penn Mutual Equity Services, INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations17 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
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