Douglas M. Holthaus

Harbor Investment Advisory, LLC

Lutherville, MD

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Current Employers

Harbor Investment Advisory, Llc

2330 W. Joppa Road Suite 160, Lutherville, MD 21093 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2026-06-23

MD RA
APPROVED

Since 2026-06-23

Branch Locations

2330 W. Joppa Road Suite 160, Lutherville, MD 21093 • USA

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Baltimore	MD	02/2014	08/2018
Bank Of America, N.A.	Baltimore	MD	03/2014	08/2018
Jpmorgan Chase Bank, N.A.	Baltimore	MD	08/2018	Present
J.P. Morgan Securities Llc	Baltimore	MD	08/2018	Present

02/2014 → 08/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baltimore, MD
03/2014 → 08/2018

Bank Of America, N.A.

Baltimore, MD
08/2018 → Present

Jpmorgan Chase Bank, N.A.

Baltimore, MD
08/2018 → Present

J.P. Morgan Securities Llc

Baltimore, MD

Previous Registrations

2023-03-31 → 2026-06-19

J.P. Morgan Securities Llc

Baltimore, MD
2014-03-07 → 2018-08-17

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Baltimore, MD
2012-09-27 → 2014-02-24

Pnc Wealth Management Llc

Bel Air, MD
2003-01-17 → 2007-06-22

Pnc Capital Advisors, Inc.

Baltimore, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-03-30
S66	Uniform Combined State Law Examination	2012-09-26
S63	Uniform Securities Agent State Law Examination	1998-11-14

S65 Uniform Investment Adviser Law Examination

2023-03-30
S66 Uniform Combined State Law Examination

2012-09-26
S63 Uniform Securities Agent State Law Examination

1998-11-14

Other Names

Douglas Martin Holthaus
Douglas Holthaus

View on SEC IAPD

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BLACK DIAMOND FINANCIAL, LLC

CORBYN INVESTMENT MANAGEMENT INC

SUMMIT FINANCIAL, LLC

KESTRA ADVISORY SERVICES, LLC

JANNEY MONTGOMERY SCOTT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

FREMONT JAMES KNITTLE

ANDREW WILLIAM SULLIVAN

R. MATTHEW WILLIAMS NOVAK

ROBERT WILMER BLACK

FRED CREGAN HILL

Other Offices

HARBOR INVESTMENT ADVISORY, LLC · LUTHERVILLE, MD

BLACK DIAMOND FINANCIAL, LLC · LUTHERVILLE, MD

CORBYN INVESTMENT MANAGEMENT INC · LUTHERVILLE, MD

MORGAN STANLEY · Lutherville, MD

SUMMIT FINANCIAL, LLC · LUTHERVILLE, MD

KESTRA ADVISORY SERVICES, LLC · Lutherville, MD

KESTRA ADVISORY SERVICES, LLC · LUTHERVILLE, MD

CORBYN INVESTMENT MANAGEMENT INC · LUTHERVILLE, MD

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