Raymond Dean has been Treasurer and Secretary, FINOP, Principal Financial Officer, Principal Operations Officer of Harbor Investment Advisory since December 2019, is a control person of the firm and directly owns under 5% of it. Raymond Dean holds a BBA in Accounting from James Madison University.
Harbor Investment Advisory, LLC is a Lutherville, MD firm with $6.87B under management, 3,540 clients and 30 advisers across 2 offices, as of its September 2026 filing.
Raymond P. Dean is Director, Chief Financial Officer of Harbor Investment Advisory, LLC. He is responsible for the financial and accounting functions and the production of audited financial statements, and serves as the Financial and Operations Principal (FinOP) and Registered Options Principal for the firm’s broker-dealer. Dean has been with Harbor since its founding in 2009 and began his career in 1993 at Alex. Brown & Sons.
- Credit Suisse Securities (USA) LLC– · 2 yearsBaltimore, MD · Adviser representative · Firm CRD 816
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 53 | Municipal Securities Principal Examination | 30 November 2019 |
| Series 3 | National Commodity Futures Examination | 21 November 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 20 November 2013 |
| Series 27 | Financial and Operations Principal Examination | 18 October 2010 |
| Series 4 | Registered Options Principal Examination | 29 May 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 17 November 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 October 2000 |
| Series 7 | General Securities Representative Examination | 23 September 2000 |
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Municipal Securities Principal Examination
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Raymond Patrick Dean
- CRD
- 2420032
- Firm
- Harbor Investment Advisory · CRD 151085
- Role
- Treasurer and Secretary, FINOP, Principal Financial Officer, Principal Operations Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- harborinvestmentadvisory.com
Where does Raymond Dean work?
Raymond Dean has been Treasurer and Secretary, FINOP, Principal Financial Officer, Principal Operations Officer of Harbor Investment Advisory, LLC since December 2019, and is a control person of the firm.
Does Raymond Dean have a current investment-adviser registration?
Raymond Dean has a current broker registration and no current investment-adviser registration.
What exams has Raymond Dean passed?
Raymond Dean has passed 10 licensing exams: the Series 7, Series 63, Series 65, Series 4, Series 27, Series 24, Series 3, Series 53, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in September 2000. FINRA credited Raymond Dean with the SIE, which began in October 2018.
Where was Raymond Dean previously registered as an investment adviser?
Raymond Dean has past investment-adviser registrations through Credit Suisse Securities (USA) LLC, November 2007 to February 2010, across 1 firm.
Is Raymond Dean registered with FINRA?
Yes. Raymond Dean has a current broker registration, under CRD 2420032.
Source: FINRA BrokerCheck
How can I verify Raymond Dean’s record?
Search CRD 2420032 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Raymond Dean’s full registration record.
