CL
Charles K. Leith
CHAPIN, DAVIS
Bala Cynwyd, PA 19004
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CRD#: 1046295
CL
Professional summary
Charles Kenneth Leith is a registered financial professional currently at CHAPIN, DAVIS located in Bala Cynwyd, Pennsylvania.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1982. Charles has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 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 Charles Kenneth Leith'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
November 16, 2023 - Present
CHAPIN, DAVIS
Office #1: 2 Bala Plaza Suite 604, Bala Cynwyd, PA 19004RIA
BD
CRD#: 28116
Bala Cynwyd, PA
Past
March 28, 2019 - August 5, 2020
EMERGING GROWTH EQUITIES, LTD.
BD
CRD#: 47040
BRYN MAWR, PA
Past
December 9, 2010 - March 16, 2019
CV BROKERAGE, INC
BD
CRD#: 462
WILLIAMSTOWN, NJ
Past
December 18, 2008 - February 18, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
RADNOR, PA
Past
December 10, 2008 - February 18, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
RADNOR, PA
Past
May 31, 2006 - February 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WEST CONSHOHOCKEN, PA
Past
May 31, 2006 - February 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WEST CONSHOHOCKEN, PA
Past
February 26, 1997 - December 20, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
August 27, 1994 - August 17, 2006
GIRARD INVESTMENT SERVICES, LLC
BD
CRD#: 1834
SOUDERTON, PA
Past
June 21, 1982 - August 12, 1994
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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
Florida(1/16/2024)
RR
Maryland(5/2/2024)
RR
New Jersey(4/12/2024)
RR
New York(3/24/2024)
RR
Pennsylvania(3/22/2024)
RR
Texas(3/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/31/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/31/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
