As Chief Operating & Compliance Officer, Betsy’s role is to work with the management team to ensure that our business focus and strategic plan aligns with our mission of serving our client’s needs first and that our vision and values of employing exceptional employees are achieved. As the Chief Compliance Officer, 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).
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 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 recently completed service as Chair of FINRA’s Small Firm Advisory Board. She serves on the Hood College Board of Trustees and is the Treasurer of her church.