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Kenneth Carl Kauth

Harbour Investments, Inc.

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About Kenneth Carl Kauth

Kenneth Carl Kauth has been a registered investment advisor representative since 1984. Kenneth has experience with a wide range of firms including Piper Jaffray & Co., Wells Fargo Advisors, LLC, and PURSHE KAPLAN STERLING INVESTMENTS. Kenneth is currently affiliated with Harbour Investments, Inc. and has also worked as an Independent Insurance Agent DBA Lakes and Plains Advisors. Kenneth is registered in 12 states and has passed the Series 3, 7, 63 and 65 exams. Kenneth specializes in financial planning, selection of other advisors, and portfolio management for individuals.

Firm Information

Kenneth Kauth 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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Kenneth Kauth’s Registration & Firm History

MN

06/20/2016 - Present

Harbour Investments, Inc. (ST PAUL MN)

MN

09/24/2010 - 10/21/2013

PURSHE KAPLAN STERLING INVESTMENTS (MINNEAPOLIS MN)

MN

05/13/2005 - 09/20/2010

WELLS FARGO ADVISORS, LLC (MINNEAPOLIS MN)

MN

03/09/2000 - 05/23/2005

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

NY

03/02/1998 - 03/08/2000

DAIN RAUSCHER INCORPORATED (NEW YORK NY)

NA

11/14/1996 - 03/02/1998

DAIN RAUSCHER INCORPORATED

NJ

03/01/1993 - 11/29/1996

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NY

06/08/1990 - 03/03/1993

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

04/11/1988 - 06/29/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NA

10/22/1984 - 04/11/1988

E. F. HUTTON & COMPANY INC

NA

07/19/1984 - 11/02/1984

MML INVESTORS SERVICES, INC.

NA

06/20/1984 - 11/02/1984

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

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Licenses & Designations

IA

Issued 11/20/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/17/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/1984

Series 3 - National Commodity Futures Examination

BC

Issued 06/16/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Kenneth Carl Kauth. Review regulatory record here.
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