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John A Locke

Harbour Investments, Inc.

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About John A Locke

John A. Locke is a financial advisor with Harbour Investments, Inc. John has over 12 years of experience in the financial services industry. John is a Certified Financial Planner™ professional with a focus on investments, retirement planning, and financial planning. Prior to joining Harbour Investments, Inc. John worked as a financial advisor with LPL Financial LLC and Northwestern Mutual Investment Services, LLC. John is registered to provide investment advice in the following states: Arizona, Arkansas, California, Colorado, Florida, Illinois, Michigan, Minnesota, Ohio, Oregon, Rhode Island, Tennessee, Texas, and Wisconsin.

Firm Information

John Locke is currently registered with Harbour Investments, Inc.. Harbour Investments, Inc. is a Corporation based in Madison, WI, formed in 1987 and approved by the SEC. With over 200 licensed agents and investment advisor representatives, the firm manages between $1 billion and $10 billion in assets for a wide range of clients, including individuals, high net worth individuals, corporations, insurance companies, charitable organizations, and pension plans. Harbour Investments, Inc. offers financial planning, portfolio management for individuals, and selection of other advisors. The firm is registered in all 50 states and the District of Columbia.
Harbour Investments, Inc.

575 D'ONOFRIO DRIVE

MADISON, WI 53719

$6.10B

Assets Under Management

3,206

Total Clients

274

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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John Locke’s Registration & Firm History

WI

09/28/2023 - Present

Harbour Investments, Inc. (EAU CLAIRE WI)

WI

05/06/2015 - 10/13/2023

LPL FINANCIAL LLC (MADISON WI)

WI

01/07/2011 - 05/01/2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MIDDLETON WI)

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Licenses & Designations

BC

Issued 02/03/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/02/2014

Series 7 - General Securities Representative Examination

BC

Issued 01/06/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for John A Locke. Review regulatory record here.
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