Unclaimed Profile

Stephen John Kelly

HARBOR INVESTMENT ADVISORY, LLC·LUTHERVILLE, Maryland

SIE, Series 7, Series 24, Series 63, Series 65Clean record24 years registeredHARBOR INVESTMENT ADVISORY, LLC

2330 W. JOPPA ROAD, LUTHERVILLE, MD 21093CRD# 1142155Firm CRD# 151085

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen John Kelly · LUTHERVILLE, MD

Registration

CRD #1142155 · HARBOR INVESTMENT ADVISORY, LLC · 24 years registered

Brand Profile

Not yet started

Career History

HARBOR INVESTMENT ADVISORY, LLC

Jan 2010 – present

CREDIT SUISSE SECURITIES (USA) LLC

Jan 2003 – Jan 2010

WEST CONSHOHOCKEN, PA

DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION

Dec 2001 – Jan 2003

BALTIMORE, MD

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · December 5, 2001

Years registered · 24

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

HARBOR INVESTMENT ADVISORY, LLC

CRD 151085 · SEC 801-70893

AUM

$5.2B

Regulatory assets under management

Employees

3,169 client accounts

Services offered by HARBOR INVESTMENT ADVISORY, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at HARBOR INVESTMENT ADVISORY, LLC →

Introduction

Speak with Stephen John

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Stephen John is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in LUTHERVILLE?

Browse all registered financial advisors in LUTHERVILLE, Maryland or claim this profile if it's yours.

Browse LUTHERVILLE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Stephen John Kelly offer?

Stephen John Kelly specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LUTHERVILLE, Maryland for a consultation.

What are Stephen John Kelly's credentials?

Stephen John Kelly is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen John Kelly located?

Stephen John Kelly is based in LUTHERVILLE, Maryland, working with HARBOR INVESTMENT ADVISORY, LLC. Their office serves clients in the LUTHERVILLE metropolitan area and surrounding communities.

How does Stephen John Kelly charge for services?

Stephen John Kelly's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is HARBOR INVESTMENT ADVISORY, LLC?

HARBOR INVESTMENT ADVISORY, LLC has approximately 33 employees and manages $5.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →