Betsy B. Brennen

Chief Operating Officer, Managing Principal

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As Chief Operating Officer, Betsy’s role is to work with our management team to ensure that our business focus and strategic plan always aligns with our mission of  serving our client’s needs first and that our vision and values of employing exceptional employees are achieved.  In addition to being the firm’s COO, Betsy is also the Chief Compliance Officer.  In this capacity, Betsy supervises all of the firm’s advisory, brokerage, and operational activities in accordance with standards prescribed by our industry regulators, the Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA).  In 2013, she was appointed by FINRA to serve on a FINRA Advisory Board.  This board is an advisory committee established by the NASD in 1998.  They meet several times a year with FINRA senior staff to discuss, review, and comment  on proposed FINRA rules and provide guidance to FINRA on the possible impact of these rules on clients and firms.

Betsy started her career with Moseley, Hallgarten, Estabrook & Weeden in Boston, Massachusetts after graduating from Hood College in Frederick, Maryland.  During her 30 years in the financial services business, she has held various management, marketing and compliance positions.  She spent most of her career with Deutsche Bank Alex. Brown (formerly Alex. Brown & Sons). While there Betsy was responsible for marketing a variety of investment products including mutual funds, annuities and unit investment trusts.  When she left Deutsche bank in 2006, she was Managing Director, Head of Professional Development for Deutsche Bank Private Wealth Management.  Betsy left Deutsche Bank to join a commercial real estate firm called Preston Partners, Inc., where  she was Director of Investor Relations and Marketing. In January 2010, she and former colleagues from Alex. Brown and Sons, Inc. started Harbor Investment Advisory, LLC. Betsy earned her Bachelor of Arts degree from Hood College in Frederick, Maryland. She earned the Certified Financial Planner™ designation and holds several securities industry licenses including the Series 7, 24, 53, 63, 79 and 99. In 2004, she completed the Securities Industry Institute at Wharton, University of Pennsylvania.

Betsy currently serves on FINRA’s Small Firm Advisory Board and the Hood College Board of Associates.

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