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Thomas L Stauffacher

Harbour Investments, Inc.

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About Thomas L Stauffacher

Thomas Stauffacher is a financial professional with over 19 years of experience in the industry. Thomas is currently registered with Harbour Investments, Inc. and has been with the firm since March 2016. Previously, Thomas has worked at THE STRATEGIC FINANCIAL ALLIANCE, INC., TRANSAMERICA FINANCIAL ADVISORS, INC, and HBW SECURITIES LLC. Thomas is licensed in Illinois, Iowa, North Carolina, and Wisconsin. Thomas is a Series 6, Series 63, and SIE licensed professional. Thomas focuses on providing financial planning, and portfolio management for individuals.

Firm Information

Thomas Stauffacher 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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Thomas Stauffacher’s Registration & Firm History

WI

03/31/2016 - Present

Harbour Investments, Inc. (Monroe WI)

WI

11/08/2013 - 04/13/2016

THE STRATEGIC FINANCIAL ALLIANCE, INC. (MONROE WI)

WI

03/07/2012 - 11/11/2013

TRANSAMERICA FINANCIAL ADVISORS, INC (MADISON WI)

WI

10/28/2008 - 12/31/2011

HBW SECURITIES LLC (MONROE WI)

GA

06/23/2003 - 09/02/2008

WORLD GROUP SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

BC

Issued 07/03/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas L Stauffacher.
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