Elias D. Poe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Elias D. Poe III, who also goes by Elias Dodson Poe III, Elias Dodson Poe, Elias D. Poe III Iii, Elias Dodson Poe Iii Iii, was a registered financial professional .
Elias is a previously registered financial professional and started their career in finance in 1973. Elias had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2017 - December 18, 2024
HARBOR INVESTMENT ADVISORY, LLC
September 29, 2017 - December 18, 2024
HARBOR INVESTMENT ADVISORY, LLC
June 1, 2009 - October 2, 2017
MORGAN STANLEY
June 1, 2009 - October 2, 2017
MORGAN STANLEY
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 7, 1996 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 3, 1987 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
July 25, 1980 - October 30, 1987
LEGG MASON WOOD WALKER, INCORPORATED
September 4, 1973 - September 11, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
HARBOR INVESTMENT ADVISORY, LLC
CRD#: 151085 / SEC#: 801-70893, 8-68334
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/29/1973
Registered Representative ExaminationCurrent Firm
HARBOR INVESTMENT ADVISORY, LLC
CRD#: 151085 / SEC#: 801-70893, 8-68334
Contact information
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.
