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Investment Adviser Firm Summary

HARBOR INVESTMENT ADVISORY, LLC (CRD# 151085 / SEC# 8-68334, 801-70893)
Alternate Names: HARBOR INVESTMENT ADVISORY, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/04/2010

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 12/07/2010
California 03/11/2011
Colorado 01/07/2011
Connecticut 01/07/2011
Delaware 03/11/2011
District of Columbia 01/21/2010
Florida 12/08/2010
Georgia 03/27/2018
Illinois 01/12/2011
Indiana 03/27/2018
Iowa 03/14/2011
Louisiana 03/27/2018
Maine 01/07/2011
Maryland 01/04/2010
Massachusetts 03/11/2011
New Hampshire 03/27/2018
New Jersey 01/25/2011
New York 01/07/2011
Ohio 03/27/2018
Oregon 03/27/2018
Pennsylvania 01/07/2011
South Carolina 03/27/2018
Tennessee 03/27/2018
Texas 03/15/2011
Utah 03/27/2018
Virginia 01/21/2010
Washington 03/27/2018
West Virginia 03/27/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser