Richard A. Harlow

OLD PORT ADVISORS

Portland, ME 04101-7104

Some features on this profile are disabled

CRD#: 2954298

Professional summary

Richard Atwood Harlow III, who also goes by Chip Harlow, Richard A Harlow, is a registered financial advisor currently at OLD PORT ADVISORS located in Portland, Maine.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chip Harlow | Richard A Harlow

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.

BOARD OF SELECTMEN-TOWN OF LEBANON, MAINE; START DATE 05/2017; CHAIRMAN OF BOARD; NOT INVESTMENT RELATED; 20 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Atwood Harlow III'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 26, 2016 - Present

OLD PORT ADVISORS

Office #1: 130 Middle Street 2nd Floor, Portland, ME 04101-7104

RIA

CRD#: 108228

Portland, ME

Past

March 12, 2009 - November 23, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

SOUTH PORTLAND, ME

Past

February 6, 2009 - February 8, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PORTLAND, ME

Past

February 6, 2009 - February 8, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PORTLAND, ME

Past

October 8, 1998 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PORTLAND, ME

Past

November 5, 1997 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PORTLAND, ME

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".

OLD PORT ADVISORS

INVESTMENT MANAGEMENT & CONSULTING GROUP | OLD PORT ADVISORS, INC | OLD PORT ADVISORS

CRD#: 108228 / SEC#: 801-60130

RIA

Registered Investment Advisory firm - (4/6/2001 Approved)

Maine

Registered Investment Advisory firm - (10/5/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Maine
(2/29/2016)

IAR

New Hampshire
(8/4/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/24/1997

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/1997

General Securities Representative Examination

Current Firm

OLD PORT ADVISORS

INVESTMENT MANAGEMENT & CONSULTING GROUP | OLD PORT ADVISORS, INC | OLD PORT ADVISORS

CRD#: 108228 / SEC#: 801-60130

RIA

Registered Investment Advisory firm - (4/6/2001 Approved)

Maine

Registered Investment Advisory firm - (10/5/2001 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

130 Middle Street 2nd Floor, Portland, ME 04101-7104

Mailing Address

Phone number

(207) 774-6552

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OLD PORT ADVISORS BROCHURE (7/29/2025)

Regulatory assets under management

Total Number of Accounts	2,442
AUM (Assets Under Management)	$ 746,437,303

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.

Similar Advisors

Diana London

PFS INVESTMENTS INC.

IAR

Windham, ME

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard A. Harlow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Atwood Harlow III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OLD PORT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/1997

SIE

Date: 2/8/2016

Series 7

Date: 11/4/1997

Current Firm

OLD PORT ADVISORS

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OLD PORT ADVISORS

TRUST BUT VERIFY

Similar Advisors