Elizabeth S. Duff

HARBOUR CAPITAL ADVISORS

Tysons Corner, VA 22182

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CRD#: 3016285

Professional summary

Elizabeth Sims Duff, who also goes by Betsy Duff, Caryl Elizabeth Sims, is a registered financial advisor currently at HARBOUR CAPITAL ADVISORS, LLC located in Tysons Corner, Virginia.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Elizabeth has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Betsy Duff | Caryl Elizabeth Sims

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) - RIA

Click below to view Elizabeth Sims Duff'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

August 1, 2011 - Present

HARBOUR CAPITAL ADVISORS, LLC

Office #1: 1595 Spring Hill Road Suite 305, Tysons Corner, VA 22182

RIA

CRD#: 157266

Tysons Corner, VA

Past

October 23, 2009 - February 4, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MCLEAN, VA

Past

October 23, 2009 - February 4, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MCLEAN, VA

Past

February 3, 2003 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MCLEAN, VA

Past

September 5, 2001 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MCLEAN, VA

Past

April 7, 1998 - September 26, 2001

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, 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".

HARBOUR CAPITAL ADVISORS, LLC

CRD#: 157266 / SEC#: 801-77679

RIA

Registered Investment Advisory firm - (3/1/2013 Approved)

Maryland

Registered Investment Advisory firm - (3/25/2013 Terminated)

Virginia

Registered Investment Advisory firm - (3/11/2013 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

Virginia
(8/1/2011)

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: 1/31/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/6/1998

General Securities Representative Examination

Current Firm

HARBOUR CAPITAL ADVISORS, LLC

CRD#: 157266 / SEC#: 801-77679

RIA

Registered Investment Advisory firm - (3/1/2013 Approved)

Maryland

Registered Investment Advisory firm - (3/25/2013 Terminated)

Virginia

Registered Investment Advisory firm - (3/11/2013 Terminated)

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Contact information

Main Address

1595 Spring Hill Road Suite 305, Tysons Corner, VA 22182

Mailing Address

Phone number

(703) 992-6164

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts	430
AUM (Assets Under Management)	$ 665,628,279

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Elizabeth S. Duff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Sims Duff's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

HARBOUR CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2003

Series 63

Date: 4/27/1998

Series 7

Date: 4/6/1998

Current Firm

HARBOUR CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARBOUR CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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