Geraldine ParrottCRD 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.
Fortress Planning Group
Cedarpoint Investment Advisors, Inc.
|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|
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
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