John Locke, financial advisor Eau Claire WI

John Locke

CRD Number: 5566294
Current Firm: Harbour Investments, Inc.

John Locke (CRD# 5566294) is an Investment Advisor Representative working at Harbour Investments, Inc. in Eau Claire, WI and has over 13 years of experience in the finance industry. John Locke 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 Sep 2023 - Current < 1
Jl3 Financial Madison, WI Sep 2023 - Current < 1
Lpl Financial, LLC Madison, WI May 2015 - Sep 2023 8
John P. Drill Middleton, WI Jun 2012 - Apr 2015 2
Northwestern Mutual Investment Services, LLC Middleton, WI Nov 2010 - Apr 2015 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2011
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for John A. Locke
Phone Number: 608-662-6100
Registered State(s):
  • WI
By the Numbers
  • Total Assets Under Management
    4,469
    MILLIONS
  • Total Number of Accounts
    28,573
    ACCOUNTS
  • Average Account Value
    $156,400
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Subscription fees (for a newsletter or periodical)
  • 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, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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