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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Douglas M. Holthaus

Advisor at HARBOR INVESTMENT ADVISORY, LLC

LUTHERVILLE, MD

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Search this name across graphsid dfx:ria:ff5a567f-2197-db51-e5da-833c1b7564b6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HARBOR INVESTMENT ADVISORY, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 14, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Nov 14, 1998
First registration: Jan 17, 2003
Dual registered: yes, broker-dealer
Other names: DOUGLAS MARTIN HOLTHAUS|DOUGLAS HOLTHAUS
IAPD individual key: 2794127

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HARBOR INVESTMENT ADVISORY, LLC	Mixed wealth	Jun 23, 2026	n/a	yes	LUTHERVILLE, MD	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 31, 2023	Jun 19, 2026	no	Baltimore, MD	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 7, 2014	Aug 17, 2018	no	BALTIMORE, MD	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 27, 2012	Feb 24, 2014	no	Bel Air, MD	Previous registration
PNC CAPITAL ADVISORS, INC.	n/a	Jan 17, 2003	Jun 22, 2007	no	BALTIMORE, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	HARBOR INVESTMENT ADVISORY, LLC	Jun 19, 2026	Jun 23, 2026	4	Firm change	Wirehouse to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Aug 17, 2018	Mar 31, 2023	1,687	Firm change after gap	Wirehouse to wirehouse
PNC WEALTH MANAGEMENT	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 24, 2014	Mar 7, 2014	11	Firm change	Other
PNC CAPITAL ADVISORS, INC.	PNC WEALTH MANAGEMENT	Jun 22, 2007	Sep 27, 2012	1,924	Firm change after gap	Other

Relationships

Registered with (5)

→ HARBOR INVESTMENT ADVISORY, LLCRegistered adviserregistration: current employment
Jun 23, 2026 to presentfactForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Mar 31, 2023 to Jun 19, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 7, 2014 to Aug 17, 2018factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 27, 2012 to Feb 24, 2014factForm ADV
→ PNC CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Jan 17, 2003 to Jun 22, 2007factForm ADV

Dated events

Occurred
Jun 19, 2026
Advisor changed firm
Douglas M. Holthaus left J.P. Morgan Securities Llc for Harbor Investment Advisory, Llc (registered 2026-06-23)
Form ADVobserved 6 days ago