EP
Ellen M. Pierce
HARBOR INVESTMENT ADVISORY
Lutherville, MD 21093
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CRD#: 2695327
EP
Professional summary
Ellen Marie Pierce, who also goes by Ellen Marie Wozniak, is a registered financial advisor currently at HARBOR INVESTMENT ADVISORY, LLC located in Lutherville, Maryland.
Ellen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Ellen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ellen Marie Wozniak
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.
Garden Leaves LLC PO Box 557 Hunt Valley MD 21030 Owner/Officer, Flower & Gift Shop 20 hours per month start/purchase settlement date 7/18/25. Archdiocese Of Baltimore Partners in Excellence Scholarship Program 320 Cathedral St. Baltimore MD - Advisory Board to provide scholarships to low income families. 12 meetings and 3 events per year. 11/10/2025.
CRS (Client Relationship Summary) - RIA
Click below to view Ellen Marie Pierce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ellen Marie Pierce'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
July 7, 2025 - Present
HARBOR INVESTMENT ADVISORY, LLC
Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093RIA
BD
CRD#: 151085
Lutherville, MD
Current
July 7, 2025 - Present
HARBOR INVESTMENT ADVISORY, LLC
Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093RIA
BD
CRD#: 151085
Lutherville, MD
Past
November 12, 2004 - July 23, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
McLean, VA
Past
November 12, 2004 - July 23, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
McLean, VA
Past
March 15, 1999 - November 12, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ALPHARETTA, GA
Past
February 29, 1996 - November 12, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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(7/24/2025)
RR
Arizona(7/7/2025)
RR
Arkansas(7/7/2025)
RR
California(7/7/2025)
RR
Colorado(7/7/2025)
RR
Connecticut(7/7/2025)
RR
Delaware(7/7/2025)
RR
District of Columbia(7/7/2025)
RR
Florida(7/7/2025)
RR
Georgia(7/7/2025)
RR
Hawaii(7/7/2025)
RR
Idaho(7/7/2025)
RR
Illinois(7/7/2025)
RR
Indiana(7/7/2025)
RR
Iowa(7/7/2025)
RR
Kansas(7/7/2025)
RR
Kentucky(7/7/2025)
RR
Louisiana(7/7/2025)
RR
Maine(7/7/2025)
RR
Maryland(7/7/2025)
IAR
Maryland(7/7/2025)
RR
Massachusetts(7/7/2025)
RR
Michigan(7/7/2025)
RR
Minnesota(7/7/2025)
RR
Mississippi(7/7/2025)
RR
Missouri(7/7/2025)
RR
Montana(7/7/2025)
RR
Nebraska(7/7/2025)
RR
Nevada(7/7/2025)
RR
New Hampshire(7/7/2025)
RR
New Jersey(7/7/2025)
RR
New Mexico(7/7/2025)
RR
New York(7/7/2025)
RR
North Carolina(7/7/2025)
RR
North Dakota(7/7/2025)
RR
Ohio(7/7/2025)
RR
Oklahoma(7/7/2025)
RR
Oregon(7/7/2025)
RR
Pennsylvania(7/7/2025)
RR
Rhode Island(7/7/2025)
RR
South Carolina(7/7/2025)
RR
South Dakota(7/7/2025)
RR
Tennessee(7/7/2025)
RR
Texas(7/7/2025)
RR
Utah(7/7/2025)
RR
Vermont(7/7/2025)
RR
Virginia(7/7/2025)
RR
Washington(7/7/2025)
RR
West Virginia(7/7/2025)
RR
Wisconsin(7/7/2025)
RR
Wyoming(7/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/9/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
