William Schadty has been Chief Compliance Officer of Harbor Investment Advisory since February 2020, is a control person of the firm and directly owns under 5% of it. William Schadty holds a Degree in Finance from Towson 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.
Will Schadty is Director, Chief Compliance Officer of Harbor Investment Advisory, LLC. He is responsible for management and oversight of all the compliance and risk matters for the firm. Schadty brings over 30 years of experience to Harbor from Legg Mason, Smith Barney and Morgan Stanley, and for 10 years has been a Complex Risk Officer.
William Schadty’s longest registration was 10 years at Morgan Stanley (2009–2020). Before joining Harbor Investment Advisory in 2020, William Schadty was registered through Morgan Stanley and Citigroup Global Markets Inc.
- – present · 6 yearsLutherville, MD · Adviser representative · Firm CRD 151085
- Morgan Stanley– · 10 yearsHunt Valley, MD · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 3 yearsTowson, MD · Adviser representative · Firm CRD 7059
- Legg Mason Wood Walker Inc– · 5 yearsBelair, MD · Adviser representative · Firm CRD 6555
Professional designations
Listed by Harbor Investment Advisory
- AAMS™
Investment adviser representative registrations
William Schadty is registered as an investment adviser representative in Maryland, since February 2020.
- MarylandSince 5 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 53 | Municipal Securities Principal Examination | 11 September 2020 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 17 November 2011 |
| Series 31 | Futures Managed Funds Examination | 29 May 2008 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 8 April 2004 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 9 March 2004 |
| Series 24 | General Securities Principal Examination | 12 September 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 December 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 April 1999 |
| Series 7 | General Securities Representative Examination | 6 April 1999 |
- Name
- Municipal Securities Representative Examination
- Name
- Municipal Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- William Christopher Schadty
- CRD
- 2857651
- Firm
- Harbor Investment Advisory · CRD 151085
- Role
- Chief Compliance Officer
- Office
- 2330 W. Joppa Road, Suite 160, Lutherville, MD 21093
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- harborinvestmentadvisory.com
Where does William Schadty work?
William Schadty has been Chief Compliance Officer of Harbor Investment Advisory, LLC since February 2020, and is a control person of the firm.
Is William Schadty a financial advisor?
Yes. William Schadty has a current investment-adviser registration in Maryland, through Harbor Investment Advisory since February 2020.
How many years of experience does William Schadty have?
William Schadty has 27 years in the financial industry, since April 1999, across 4 adviser firms.
What exams has William Schadty passed?
William Schadty has passed 10 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 9, Series 10, Series 31, Series 3, Series 53 and Series 52TO. The earliest, the Series 7, was passed in April 1999. FINRA credited William Schadty with the SIE, which began in October 2018.
Where did William Schadty work before Harbor Investment Advisory?
Before Harbor Investment Advisory, William Schadty was registered through Citigroup Global Markets Inc., February 2006 to June 2009; Legg Mason Wood Walker Inc, December 2000 to February 2006.
Where is William Schadty based?
William Schadty’s registered office is in Lutherville, MD.
Is William Schadty registered with FINRA?
Yes. William Schadty has a current broker registration, under CRD 2857651.
Source: FINRA BrokerCheck
How can I verify William Schadty’s record?
Search CRD 2857651 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish William Schadty’s full registration record.
