LS
Luke T. Smith
CHAPIN, DAVIS
Baltimore, MD 21209
Some features on this profile are disabled
CRD#: 1045496
LS
Professional summary
Luke Timothy Smith is a registered financial professional currently at CHAPIN, DAVIS located in Baltimore, Maryland.
Luke is registered as a RR (Registered Representative) and started their career in finance in 1982. Luke has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 8, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Luke Timothy Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 1, 1997 - Present
CHAPIN, DAVIS
Office #1: 1411 Clarkview Road, Baltimore, MD 21209Office #2: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Baltimore, MD
Past
February 23, 1994 - December 18, 1997
CHESAPEAKE SECURITIES RESEARCH CORPORATION
BD
CRD#: 14161
SEVERNA PARK, MD
Past
March 21, 1991 - February 23, 1994
CHAPIN, DAVIS
BD
CRD#: 28116
BALTIMORE, MD
Past
October 21, 1987 - March 27, 1991
JONES FALLS SECURITIES INC.
BD
CRD#: 1437
BALTIMORE, MD
Past
February 10, 1986 - October 22, 1987
CARDY & CO.,INCORPORATED
BD
CRD#: 16162
Past
May 24, 1982 - February 7, 1986
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CD
CHAPIN, DAVIS
CHAPIN DAVIS ASSET MANAGEMENT | PATAPSCO SECURITIES INC. D/B/A CHAPIN, DAVIS | PATAPSCO SECURITIES INC. | OAKTREE PORTFOLIO MANAGEMENT | CHAPIN, DAVIS | CHAPIN DAVIS, INC. | CHAPIN DAVIS, INC
CRD#: 28116 / SEC#: 801-70987, 8-43485
RIA
Registered Investment Advisory firm - SEC (1/13/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (6/26/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(12/3/2019)
RR
Delaware(1/1/2017)
RR
District of Columbia(5/3/2007)
RR
Florida(5/18/2006)
RR
Illinois(5/18/2012)
RR
Maine(8/8/2007)
RR
Maryland(12/1/1997)
RR
Massachusetts(5/22/2007)
RR
New Jersey(9/11/2006)
RR
New York(12/1/1997)
RR
North Carolina(1/3/2017)
RR
Ohio(1/3/2017)
RR
Pennsylvania(5/3/2007)
RR
Virginia(12/18/1997)
RR
West Virginia(1/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/8/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CD
CHAPIN, DAVIS
CHAPIN DAVIS ASSET MANAGEMENT | PATAPSCO SECURITIES INC. D/B/A CHAPIN, DAVIS | PATAPSCO SECURITIES INC. | OAKTREE PORTFOLIO MANAGEMENT | CHAPIN, DAVIS | CHAPIN DAVIS, INC. | CHAPIN DAVIS, INC
CRD#: 28116 / SEC#: 801-70987, 8-43485
RIA
Registered Investment Advisory firm - SEC (1/13/2010 Approved)Maryland
Registered Investment Advisory firm - SEC (6/26/2013 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1411 Clarkview Road, Baltimore, MD 21209
Mailing Address
1411 Clarkview Road, Baltimore, MD 21209
Phone number
(410) 435-3200
Established
Maryland since 12/12/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
30
SEC notice filing (16 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALBERT, TALBOT JONES IV | CHAIRMAN OF THE BOARD, CEO | 1620715 |
| HAYES, ELISABETH ALBERT | DIRECTOR/SHAREHOLDER | 1824604 |
| BRUBAKER, THOMAS ALLEN | DIRECTOR | 860338 |
| CARTER, ANA ROUMENOVA | FINANCIAL PRINCIPAL | 4424794 |
| GALANTINO, MICHAEL ANTHONY | PRESIDENT/DIRECTOR | 1277218 |
| KAEHLER, ROBERT JAMES | CHIEF COMPLIANCE OFFICER | 2858149 |
| MURRAY, KEITH LAWRENCE | DIRECTOR | 2726392 |
Regulatory assets under management
| Total Number of Accounts | 741 |
| AUM (Assets Under Management) | $ 539,098,994 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 1 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 04/26/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
