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RD

Raymond P. Dean

HARBOR INVESTMENT ADVISORY
Lutherville, MD 21093
Some features on this profile are disabled
CRD#: 2420032
RD

Professional summary

Raymond Patrick Dean is a registered financial professional currently at HARBOR INVESTMENT ADVISORY, LLC located in Lutherville, Maryland.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 2000. Raymond has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 3, SIE, Series 7, Series 53, Series 24, Series 27 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raymond Patrick Dean's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 4, 2010 - Present

HARBOR INVESTMENT ADVISORY, LLC

Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093Office #2: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093
RIA
BD
CRD#: 151085
Lutherville, MD
Past

November 19, 2007 - February 25, 2010

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
BALTIMORE, MD
Past

January 17, 2003 - February 25, 2010

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
BALTIMORE, MD
Past

September 25, 2000 - January 17, 2003

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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.

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
Maryland
(2/4/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/17/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 3
Date: 11/21/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/23/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/30/2019
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/20/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/18/2010
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/29/2010
Registered Options Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

HARBOR INVESTMENT ADVISORY, LLC FORM ADV PART 2A (3/21/2025)
HARBOR INVESTMENT ADVISORY, LLC WRAP FEE BROCHURE (3/21/2025)

Direct owners and executive officers

NamePositionCRD#
HARBOR INVESTMENT MANAGEMENT, LLCSOLE MEMBER
BLACK, ROBERT WILMER IIIVICE PRESIDENT1497429
DEAN, RAYMOND PATRICKTREASURER AND SECRETARY2420032
HILL, FRED CREGAN JRPRESIDENT1639919
SCHADTY, WILLIAM CHRISTOPHERCHIEF COMPLIANCE OFFICER2857651

Regulatory assets under management

Total Number of Accounts3,326
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.

Company Information

HARBOR INVESTMENT ADVISORY, LLC

CRD#: 151085Lutherville, MD 21093

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