Anthony Howard Smith

Current Employers

Harbour Investments, Inc.

575 D'ONofrio Drive Suite 300, Madison, WI 53719 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2012-02-09

WI RA
APPROVED

Since 2012-02-09

Branch Locations

575 D'ONofrio Drive Suite 300, Madison, WI 53719 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Harbour Investments, Inc.	Madison	WI	09/2004	Present
Harbour Management Llc	Madison	WI	09/2004	Present

09/2004 → Present

Harbour Investments, Inc.

Madison, WI
09/2004 → Present

Harbour Management Llc

Madison, WI

Other Businesses

1) Independent Insurance Agent, which may include selling Fixed Index Annuities, as well as other lines of insurance through various insurance carriers

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-09-10
S63	Uniform Securities Agent State Law Examination	2000-07-28

S65 Uniform Investment Adviser Law Examination

2001-09-10
S63 Uniform Securities Agent State Law Examination

2000-07-28

View on SEC IAPD

Current Employers

Harbour Investments, Inc.

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews