Travis Leigh Bator

Current Employers

Employment History

• 10/2006 → 07/2019
  Ameriprise Financial Services, Inc.
  Minneapolis, MN
• 07/2019 → 10/2020
  York Pa District Attorney's Office
  York, PA
• 10/2020 → 02/2021
  Crisp & Associates
  Harrisburg, PA
• 02/2021 → 09/2023
  Harbour Investments, Inc
  Madison, WI
• 02/2021 → 09/2023
  Harbour Management, Llc
  Madison, WI
• 08/2021 → 09/2023
  Harbour Investments, Inc
  Madison, WI
• 08/2021 → 09/2023
  Harbour Management, Llc
  Madison, WI
• 09/2023 → 08/2024
  Independent Financial Group, Llc
  San Diego, CA
• 08/2024 → Present
  Tlb Law
  Deforest, WI
• 01/2025 → Present
  Capstone Investment Group, Llc
  Olympia, WA
• 04/2025 → Present
  M.S. Howells & Co.
  Scottsdale, AZ

Previous Registrations

• 2023-09-06 → 2024-08-02
  Independent Financial Group, Llc
  San Diego, CA
• 2021-02-08 → 2023-09-07
  Harbour Investments, Inc.
  Madison, WI
• 2017-07-11 → 2019-08-13
  Ameriprise Financial Services, Llc
  Minneapolis, MN
  Minneapolis, MN

Other Businesses

1) MN DNR FIREARMS SAFETY INSTRUCTOR; Investment related- no; St Paul, MN; Nature- Teach firearm safety 12yrs and up; Position/Title- employee; Start date- 4.14.25; Approximately 1 hour per month, 0 during trading hours; Description- Teacher 2) TLB Law; Investment related- No; Deforest, WI; Nature- Law Practice; Position/Title- Owner/Attorney; Start date- 8/2024; Approximately 20 hours per month, 0 during trading hours; Description- Focuses is on document formation for new businesses, updates to existing governing documents and limited estate planning 3) Notary; Investment related- No; Deforest, WI; Nature- WI Notary; Position/Title- Owner; Start date- 4.14.25; Approximately 1 hour per month, 0 during trading hours; Description- Notarize documents 4) Travis Leigh Bator is also dually licensed as a Registered Representative of M.S. Howells & Co., a broker/dealer. 5) 3D Income Fund; Investment-Related- Yes; Litchfield, MN; Nature- Rule 506 Private Placement; Position/Title- COO/CCO; Start date- 1.1.26; Approximately 60 hours per month, 35 during trading hours; Description- Manage day to day operations of the fund with help of outside counsel 6) Insurance/Advisors Excel; Investment-Related- Yes; Topeka, KS; Nature- Insurance Agency to affiliate Non-BD reps with an IMO; Position/Tittle- COO; Start date- 2.9.26; Approximately 3 hours per month, 3 hours during trading hours; Description- Insurance Agency to affiliate Non-BD reps with an IMO 7) Capstone Investment Group; Investment related- Yes; Olympia, WA; Nature- RIA; Title/Position- COO; Start date- 4.17.25; Approximately 135 hours per month, 134 during trading hours; Description - Manage day to day operations of the RIA

Exams

• S66 Uniform Combined State Law Examination
  2017-07-11
• S63 Uniform Securities Agent State Law Examination
  2007-01-12