RN
R. Matthew W. Novak
HARBOR INVESTMENT ADVISORY
Lutherville, MD 21093
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CRD#: 5084805
RN
Professional summary
R. Matthew Williams Novak, CFP®, who also goes by Matthew Novak, Robert Novak, is a registered financial advisor currently at HARBOR INVESTMENT ADVISORY, LLC located in Lutherville, Maryland.
R. Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. R. Matthew has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Novak | Robert Novak
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.
1) JCA TRUST; BALTIMORE, MD; TRUSTEE; DECEMBER 1, 2017; 1 TIME PER YEAR.
2) JCA DYNASTY TRUST; BALTIMORE, MD; TRUSTEE; DECEMBER 1, 2017; 0 HRS.
3) ARBOR DOG FOUNDATION; NOT INVESTMENT RELATED; BOARD OF DIRECTORS; SEPTEMBER 1, 2017; SEMIANNUALLY 4-6 HRS.
CRS (Client Relationship Summary) - RIA
Click below to view R. Matthew Williams Novak's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view R. Matthew Williams Novak'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®
CFP®
Start date: 2017
Experience
Current
February 15, 2011 - Present
HARBOR INVESTMENT ADVISORY, LLC
Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093RIA
BD
CRD#: 151085
Lutherville, MD
Current
February 15, 2011 - Present
HARBOR INVESTMENT ADVISORY, LLC
Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093RIA
BD
CRD#: 151085
Lutherville, MD
Past
August 6, 2007 - February 24, 2011
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
BALTIMORE, MD
Past
February 3, 2006 - February 24, 2011
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
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".
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
Arizona(2/15/2011)
RR
California(2/15/2011)
RR
Colorado(2/12/2018)
RR
Delaware(2/15/2011)
RR
District of Columbia(2/15/2011)
RR
Florida(2/15/2011)
RR
Georgia(2/15/2011)
RR
Illinois(2/15/2011)
RR
Indiana(4/29/2020)
RR
Kentucky(10/6/2021)
RR
Maryland(2/15/2011)
IAR
Maryland(2/15/2011)
RR
Massachusetts(2/15/2011)
RR
Michigan(3/10/2022)
RR
Minnesota(6/7/2022)
RR
Montana(7/16/2021)
RR
Nevada(2/15/2011)
RR
New Hampshire(3/4/2019)
RR
New Jersey(2/15/2011)
RR
New Mexico(3/4/2019)
RR
New York(2/15/2011)
RR
North Carolina(1/4/2017)
RR
Ohio(2/16/2011)
RR
Oklahoma(8/21/2024)
RR
Oregon(1/23/2020)
RR
Pennsylvania(2/15/2011)
RR
Rhode Island(2/15/2011)
RR
South Carolina(2/15/2018)
RR
South Dakota(11/8/2023)
RR
Tennessee(3/27/2015)
RR
Texas(2/15/2011)
RR
Virginia(2/15/2011)
RR
Washington(3/21/2017)
RR
West Virginia(3/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
