Geraldine Parrott, financial advisor Madison WI
86 score

Geraldine Parrott

CRD Number: 1185742
Current Firm: Harbour Investments, Inc.

Geraldine Parrott (CRD# 1185742) is an Investment Advisor Representative working at Harbour Investments, Inc. in Madison, WI and has over 33 years of experience in the finance industry. Geraldine Parrott has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Harbour Investments, Inc. Madison, WI Oct 2011 - Current 5
Red Oak Asset Management, Inc. Madison, WI Oct 2011 - Current 5
Century Securities Associates, Inc. Brookfield, WI Sep 2009 - Oct 2011 2
Stifel Nicolaus & Co Inc. Brookfield, WI Jul 2004 - Sep 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1983
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Geraldine M. Parrott
Phone Number: 608-662-6100
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    552
    MILLIONS
  • Total Number of Accounts
    2,508
    ACCOUNTS
  • Average Account Value
    $220,245
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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

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BADGES
86

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