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Shane Roth

Harbour Investments, Inc.

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About Shane Roth

Shane Roth is a registered investment advisor representative with Harbour Investments, Inc., located in Verona, WI. Shane has been in the industry since January 23, 2003. Shane is a licensed insurance agent and has been a member of Business Networking International (BNI) since September 2020. Shane is also a bartender at the Weary Traveler Bar in Madison, WI. Shane is a Series 6, Series 7, Series 63, and Series 65 licensed advisor. Shane has worked previously for Transamerica Financial Advisors, Inc. and World Group Securities, Inc.

Firm Information

Shane Roth 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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Shane Roth’s Registration & Firm History

WI

10/07/2021 - Present

Harbour Investments, Inc. (Verona WI)

WI

01/06/2012 - 10/06/2021

TRANSAMERICA FINANCIAL ADVISORS, INC (MADISON WI)

GA

01/23/2003 - 01/06/2012

WORLD GROUP SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

IA

Issued 06/24/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/20/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/13/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/22/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shane Roth.
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