Earl Gauger
Earl Gauger is a CFP-designated registered investment advisor at Harbour Investments, INC., based in Menomonee Falls, WI, with 28 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 22,917 clients with $7.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Harbour Investments offers investment management through wrap-fee programs where fees are calculated as a percentage of the value of your portfolio, up to a maximum of 2.0%. The specific fee is negotiated with your advisor and subject to Harbour's approval. Fees may be waived for periods after a commission is generated. Accounts under $25,000 may have higher service fees. Harbour also offers a directly-managed held-away program where fees are assessed and billed quarterly.
Location
N88 W16624 Appleton Ave, Suite 5, Menomonee Falls, WI, 53051
Get directionsHistory
Regulatory History (2)
Regulatory
December 2001Criminal
October 1999Other Business ActivitiesSells Insurance
Earl is an independent insurance agent doing business as E2 Retirement Consulting, dedicating nearly full-time hours during securities trading hours and about 10-20% of his time after hours. He is also the president of the Wisconsin Financial Literacy Foundation and a board member of the UW Whitewater Advisory Board, dedicating minimal time to each.
Employment History
Current Registrations
Harbour Investments, INC.
Harbour Investments, INC.Broker
Previous Registrations
Nrp Advisors, INC.
Nrp Financial, INC.Broker
UBS Financial Services INC.Broker
Strong Investments, INC.Broker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations13 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.