Arlon SpaethCRD Number: 1253563
Current Firm: Harbour Investments, Inc.
Arlon Spaeth (CRD# 1253563) is an Investment Advisor Representative working at Harbour Investments, Inc. in Madison, WI and has over 33 years of experience in the finance industry.
Fortress Planning Group
Cedarpoint Investment Advisors, Inc.
|Harbour Investments Inc.||Madison, WI||Jan 2007 - Current||11|
|Coordinated Financial Services Inc.||Madison, WI||Dec 1988 - Current||29|
|American General Securities, Incorporated||Madison, WI||Mar 2005 - Dec 2007||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1984|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management552MILLIONS
Total Number of Accounts2,508ACCOUNTS
Average Account Value$220,245
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV