James Wesley Pfeil

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

• 09/2013 → 06/2018
  Thrivent Investment Management Inc
  Lake Geneva, WI
• 09/2013 → 06/2018
  Thrivent Financial
  Lake Geneva, WI
• 07/2018 → 07/2019
  Capital Financial Services, Inc.
  Minot, ND
• 07/2019 → 11/2020
  Calton & Associates, Inc.
  Elkhorn, WI
• 11/2020 → Present
  Harbour Investments, Inc.
  Madison, WI
• 11/2020 → Present
  Sierra Financial Services
  Elkhorn, WI

Previous Registrations

• 2019-07-09 → 2020-11-12
  Calton & Associates, Inc.
  Elkhorn, WI
• 2018-07-17 → 2019-07-09
  Capital Financial Services, Inc.
  Elkhorn, WI
• 2013-06-24 → 2018-07-19
  Thrivent Investment Management Inc.
  Madison, WI
  Delavan, WI
  Lake Geneva, WI

Other Businesses

1)Sierra Financial Services - DBA 2)Independent Insurance Agent, which may include selling Fixed Index Annuities, as well as other lines of insurance through various insurance carriers

Exams

• S66 Uniform Combined State Law Examination
  2013-06-21

Other Names

• Jim Pfeil