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Kim I Marshall

Harbour Investments, Inc.

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About Kim I Marshall

Kim I. Marshall is a registered investment advisor representative with Harbour Investments, Inc. based in Sarasota, FL. Kim has over 30 years of experience in the financial services industry, having held previous positions at various firms, including Wells Fargo Advisors, LLC, Stifel, Nicolaus & Company, Incorporated, and B.C. Ziegler and Company. Kim has a Series 63 and Series 65 license, and is also a Series 7 and SIE licensed representative. Kim's areas of specialization include financial planning, portfolio management for individuals, and selection of other advisors.

Firm Information

Kim Marshall 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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Kim Marshall’s Registration & Firm History

FL

01/07/2022 - Present

Harbour Investments, Inc. (SARASOTA FL)

IN

02/07/2020 - 03/04/2020

CFD INVESTMENTS, INC. (KOKOMO IN)

WI

03/16/2018 - 02/07/2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED (MADISON WI)

WI

06/02/2015 - 03/16/2018

B. C. ZIEGLER AND COMPANY (MIDDLETON WI)

WI

09/09/2005 - 06/03/2015

WELLS FARGO ADVISORS, LLC (MADISON WI)

NY

04/14/1998 - 09/12/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

NJ

05/01/1992 - 04/23/1998

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

MO

09/04/1990 - 05/15/1992

KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)

NA

05/14/1990 - 09/04/1990

BLUNT ELLIS & LOEWI INCORPORATED

NY

03/20/1990 - 05/16/1990

SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)

NA

08/20/1987 - 09/23/1987

THE STUART-JAMES COMPANY, INC.

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Licenses & Designations

IA

Issued 03/24/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/27/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/17/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kim I Marshall. Review regulatory record here.
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