LH
Lisa M. Howard
HARBOR INVESTMENT ADVISORY
Lutherville, MD 21093
Some features on this profile are disabled
CRD#: 1960821
LH
Professional summary
Lisa Michell Howard, who also goes by Lisa Michell Frazier, is a registered financial advisor currently at HARBOR INVESTMENT ADVISORY, LLC located in Lutherville, Maryland.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Lisa has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Michell Frazier
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Michell Howard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Michell Howard's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2011 - Present
HARBOR INVESTMENT ADVISORY, LLC
Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093RIA
BD
CRD#: 151085
Lutherville, MD
Current
January 19, 2011 - Present
HARBOR INVESTMENT ADVISORY, LLC
Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093RIA
BD
CRD#: 151085
Lutherville, MD
Past
May 29, 2008 - February 1, 2011
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
BALTIMORE, MD
Past
January 13, 2001 - February 1, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
BALTIMORE, MD
Past
December 2, 1999 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
June 7, 1999 - November 23, 1999
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
June 12, 1998 - June 7, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HI
HARBOR INVESTMENT ADVISORY, LLC
HARBOR INVESTMENT ADVISORY, LLC
CRD#: 151085 / SEC#: 801-70893, 8-68334
RIA
Registered Investment Advisory firm - SEC (1/4/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/9/2021)
RR
Arizona(1/19/2011)
RR
California(1/19/2011)
RR
Colorado(1/19/2011)
RR
Connecticut(1/19/2011)
RR
Delaware(1/19/2011)
RR
District of Columbia(1/19/2011)
RR
Florida(1/19/2011)
RR
Georgia(1/19/2011)
RR
Illinois(1/19/2011)
RR
Maine(2/11/2011)
RR
Maryland(1/19/2011)
IAR
Maryland(1/19/2011)
RR
Massachusetts(1/19/2011)
RR
Michigan(1/19/2011)
RR
Minnesota(1/19/2011)
RR
Missouri(1/19/2011)
RR
Nevada(3/29/2022)
RR
New Jersey(1/19/2011)
RR
New Mexico(1/19/2011)
RR
New York(1/19/2011)
RR
North Carolina(1/20/2011)
RR
Ohio(10/21/2019)
RR
Pennsylvania(1/19/2011)
RR
Rhode Island(1/19/2011)
RR
South Carolina(1/19/2011)
RR
South Dakota(11/3/2022)
RR
Texas(1/19/2011)
RR
Utah(1/19/2011)
RR
Virginia(1/19/2011)
RR
Washington(4/29/2021)
RR
West Virginia(1/19/2011)
RR
Wisconsin(3/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HI
HARBOR INVESTMENT ADVISORY, LLC
HARBOR INVESTMENT ADVISORY, LLC
CRD#: 151085 / SEC#: 801-70893, 8-68334
RIA
Registered Investment Advisory firm - SEC (1/4/2010 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
2330 W. Joppa Road Suite 160, Lutherville, MD 21093
Mailing Address
2330 W. Joppa Road Suite 160, Lutherville, MD 21093
Phone number
(410) 659-8900
Established
Maryland since 06/24/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (29 States and Territories)
FINRA licenses (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,326 |
| AUM (Assets Under Management) | $ 6,000,223,304 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
