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Gavin Dues

Harbour Investments, INC.
26 Years of Experience
Eaton, OH
1 DisclosureBrokerSells Insurance
View SEC Summary
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Gavin Dues is a registered investment advisor at Harbour Investments, INC., based in Eaton, OH, with 26 years of industry experience. Gavin 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.

Harbour Investments, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
252 advisors
Number of Clients
30,309 clients
Average Client Portfolio
$317K average
Assets Under Management
$9.6B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

122 W Decatur St, Suite C, Eaton, OH, 45320

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2006
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gavin is an independent insurance agent, including equity indexed annuities, and owns Dues Wealth Management, LLC, where he sells insurance, dedicating a few hours per week. He also owns Dues Law, LLC, spending about 10-20% of his time there, and is a landlord through Dues & Dues Partnership.

Employment History
Current Registrations
Harbour Investments, INC.
February 2012 - Present · 14 yrs 8 mos
Harbour Investments, INC.Broker
February 2012 - Present · 14 yrs 8 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
October 2009 - January 2012 · 2 yrs 3 mos
Wells Fargo Advisors Financial Network, LLCBroker
September 2009 - January 2012 · 2 yrs 4 mos
Fifth Third Securities, INC.
February 2007 - October 2009 · 2 yrs 8 mos
Fifth Third Securities, INC.Broker
April 2006 - October 2009 · 3 yrs 6 mos
U.S. Bancorp Investments, INC.
March 2005 - March 2006 · 1 yr
U.S. Bancorp Investments, INC.Broker
December 2002 - March 2006 · 3 yrs 3 mos
Salomon Smith Barney INC.Broker
December 1999 - December 2002 · 3 yrs
State Registrations6 states
AZFLILINOHTN
AdvisorBrokerBoth

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
No exam information available for this advisor.
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