Geoffrey P. Burroughs

HARBOR INVESTMENT ADVISORY

Lutherville, MD 21093

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CRD#: 5379858

Professional summary

Geoffrey Philipp Burroughs, CFP®, who also goes by Geoffrey Phillip Burroughs, is a registered financial advisor currently at HARBOR INVESTMENT ADVISORY, LLC located in Lutherville, Maryland.

Geoffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Geoffrey has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Geoffrey Phillip Burroughs

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 Geoffrey Philipp Burroughs's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Geoffrey Philipp Burroughs'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

March 28, 2013 - Present

HARBOR INVESTMENT ADVISORY, LLC

Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093Office #2: 51 Monroe Place 19th Floor, Rockville, MD 20850

RIA

CRD#: 151085

Lutherville, MD

Current

March 28, 2013 - Present

HARBOR INVESTMENT ADVISORY, LLC

Office #1: 2330 W. Joppa Road Suite 160, Lutherville, MD 21093Office #2: 51 Monroe Place 19th Floor, Rockville, MD 20850

RIA

CRD#: 151085

Lutherville, MD

Past

June 1, 2009 - April 12, 2013

MORGAN STANLEY

RIA

CRD#: 149777

BALTIMORE, MD

Past

June 1, 2009 - April 12, 2013

MORGAN STANLEY

CRD#: 149777

BALTIMORE, MD

Past

October 23, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BALTIMORE, MD

Past

August 29, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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

Alabama
(11/2/2021)

Arizona
(11/17/2020)

California
(3/28/2013)

Colorado
(10/23/2019)

Connecticut
(3/28/2013)

Delaware
(4/25/2023)

District of Columbia
(3/28/2013)

Florida
(3/28/2013)

Illinois
(10/23/2014)

Louisiana
(10/10/2023)

Maryland
(3/28/2013)

IAR

Maryland
(3/28/2013)

Michigan
(1/19/2024)

New Jersey
(3/28/2013)

New York
(3/28/2013)

North Carolina
(6/28/2018)

Ohio
(3/28/2013)

Pennsylvania
(3/28/2013)

Rhode Island
(5/4/2021)

South Carolina
(1/4/2021)

Texas
(1/19/2024)

Virginia
(3/28/2013)

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: 9/11/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/31/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/28/2007

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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Advisor Monitoring

Firm Stability Insights

Geoffrey P. Burroughs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geoffrey Philipp Burroughs's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Geoffrey Philipp Burroughs's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR INVESTMENT ADVISORY, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

HARBOR INVESTMENT ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2007

SIE

Date: 10/1/2018

Series 31

Date: 10/31/2007

Series 7

Date: 8/28/2007

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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