John Locke
John Locke is a CFP-designated registered investment advisor at Harbour Investments, INC., based in Eau Claire, WI, with 15 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
1101 W Clairmont Ave, Suite 2Gb, Eau Claire, WI, 54701
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Regulatory History (1)
Employment Separation After Allegations
September 2023Other Business ActivitiesSells Insurance
John operates JL3 Financial as a DBA and is an independent insurance agent, potentially selling equity indexed annuities. He also plays music at events, dedicating a few hours per week to this activity.
Employment History
Current Registrations
Harbour Investments, INC.
Harbour Investments, INC.Broker
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Northwestern Mutual Investment Services, LLCBroker
State Registrations15 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.