Elias D. Poe

HARBOR INVESTMENT ADVISORY

Lutherville, MD 21093

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CRD#: 3275511

Professional summary

Elias D. Poe IV, who also goes by Dod Poe, Elias Dodson Poe IV, Elias Dodson Poe, Elias D. Poe Iv Iv, Elias Dodson Poe Iv Iv, is a registered financial advisor currently at HARBOR INVESTMENT ADVISORY, LLC located in Lutherville, Maryland.

Elias is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Elias has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dod Poe | Elias Dodson Poe Iv | Elias Dodson Poe | Elias D. Poe Iv Iv | Elias Dodson Poe Iv Iv

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 Elias D. Poe IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Elias D. Poe IV'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

September 29, 2017 - Present

HARBOR INVESTMENT ADVISORY, LLC

Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093

RIA

CRD#: 151085

Lutherville, MD

Current

September 29, 2017 - Present

HARBOR INVESTMENT ADVISORY, LLC

Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093

RIA

CRD#: 151085

Lutherville, MD

Past

June 1, 2009 - October 2, 2017

MORGAN STANLEY

RIA

CRD#: 149777

LUTHERVILLE, MD

Past

June 1, 2009 - October 2, 2017

MORGAN STANLEY

CRD#: 149777

LUTHERVILLE, MD

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TOWSON, MD

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TOWSON, MD

Past

August 24, 2000 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

TOWSON, MD

Past

February 29, 2000 - February 21, 2006

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

February 10, 2000 - February 25, 2000

LOMBARD SECURITIES INCORPORATED

CRD#: 27954

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".

HARBOR INVESTMENT ADVISORY, LLC

CRD#: 151085 / SEC#: 801-70893, 8-68334

RIA

Registered Investment Advisory firm - SEC (1/4/2010 Approved)

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.

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

Arizona
(12/12/2017)

California
(9/29/2017)

Colorado
(9/29/2017)

Connecticut
(9/29/2017)

Delaware
(9/29/2017)

District of Columbia
(10/30/2019)

Florida
(9/29/2017)

Georgia
(9/29/2017)

Illinois
(9/29/2017)

Kentucky
(8/12/2025)

Louisiana
(9/29/2017)

Maryland
(9/29/2017)

IAR

Maryland
(9/29/2017)

Massachusetts
(9/29/2017)

Nevada
(9/29/2017)

New Hampshire
(1/8/2025)

New Jersey
(9/29/2017)

New York
(9/29/2017)

North Carolina
(9/29/2017)

Ohio
(9/29/2017)

Oregon
(9/29/2017)

Pennsylvania
(9/29/2017)

South Carolina
(9/29/2017)

Texas
(9/29/2017)

Utah
(9/29/2017)

Virginia
(9/29/2017)

Washington
(8/26/2025)

West Virginia
(9/29/2017)

Wisconsin
(9/29/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/23/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/9/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOR INVESTMENT ADVISORY, LLC

CRD#: 151085 / SEC#: 801-70893, 8-68334

RIA

Registered Investment Advisory firm - SEC (1/4/2010 Approved)

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

SEC notice filing (29 States and Territories)

FINRA licenses (50 States and Territories)

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

Name	Position	CRD#
HARBOR INVESTMENT MANAGEMENT, LLC	SOLE MEMBER
BLACK, ROBERT WILMER III	VICE PRESIDENT	1497429
DEAN, RAYMOND PATRICK	TREASURER AND SECRETARY	2420032
HILL, FRED CREGAN JR	PRESIDENT	1639919
SCHADTY, WILLIAM CHRISTOPHER	CHIEF COMPLIANCE OFFICER	2857651

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.

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Firm Stability Insights

Elias D. Poe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elias D. Poe IV's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Elias D. Poe IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR INVESTMENT ADVISORY, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

LOMBARD SECURITIES INCORPORATED

Primary Firm SEC Registration

HARBOR INVESTMENT ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2000

SIE

Date: 10/1/2018

Series 7

Date: 2/9/2000

FINRA

Current Firm

HARBOR INVESTMENT ADVISORY, LLC

Contact information

SEC notice filing (29 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

HARBOR INVESTMENT ADVISORY, LLC

TRUST BUT VERIFY

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