John A Locke

Employer firm

Harbour Investments, Inc. CRD 19258

$9.60B regulatory AUM 3,203 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 09/2023
  Lpl Financial, Llc
  Madison, WI
• 09/2023 → Present
  Harbour Investments, Inc.
  Madison, WI
• 09/2023 → Present
  Jl3 Financial
  Madison, WI

Previous Registrations

• 2015-06-01 → 2023-10-13
  Lpl Financial Llc
  Madison, WI
  Madison, WI
  Fort Mill, SC
  Portage, WI
  Middleton, WI
  Madison, WI
  Janesville, WI
  Beaver Dam, WI
  Middleton, WI
  Madison, WI
  Green Bay, WI
  New London, WI
  Green Bay, WI
  Crivitz, WI
  De Pere, WI
  Green Bay, WI
  Appleton, WI
  Shawano, WI
  Marinette, WI
  Kiel, WI
  De Pere, WI
  Green Bay, WI
  Sturgeon Bay, WI
  Green Bay, WI
  Green Bay, WI
  Crivitz, WI
  Janesville, WI
  Green Bay, WI
  Eau Claire, 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 2)JL3 Financial - DBA 3)John Locke musician | 2410 Commercial Avenue, Madison, WI 53704 | Musician/ Entertainer | Description: Play at weddings, graduation parties, birthday parties and for other establishments | Beginning 5/2024 | 5 hours per month, 0 hours during trading hours | Paid position | Not investment related

Exams

• S63 Uniform Securities Agent State Law Examination
  2011-02-03

Designations

• Certified Financial Planner