Charles K. Leith

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CRD#: 1046295

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Charles Kenneth Leith was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1982. Charles had 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"?

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 16, 2023 - December 18, 2025

CHAPIN, DAVIS

CRD#: 28116

BALTIMORE, MD

Past

March 28, 2019 - August 5, 2020

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

BRYN MAWR, PA

Past

December 9, 2010 - March 16, 2019

CV BROKERAGE, INC

CRD#: 462

WILLIAMSTOWN, NJ

Past

December 18, 2008 - February 18, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

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.

CRD#: 16361

WEST CONSHOHOCKEN, PA

Past

February 26, 1997 - December 20, 2000

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 27, 1994 - August 17, 2006

GIRARD INVESTMENT SERVICES, LLC

CRD#: 1834

SOUDERTON, PA

Past

June 21, 1982 - August 12, 1994

G. R. PHELPS & CO., INC.

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".

CHAPIN, DAVIS

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)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/21/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/21/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/31/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 12/31/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/11/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CHAPIN, DAVIS

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)

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

SEC notice filing (16 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2(B) BROCHURE (3/31/2025)

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	Cover Page	Report
04/26/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Charles K. Leith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMERGING GROWTH EQUITIES, LTD.

CV BROKERAGE, INC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MML INVESTORS SERVICES, LLC

GIRARD INVESTMENT SERVICES, LLC

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

CHAPIN, DAVIS

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/2024

Series 66

Date: 6/21/2006

Series 7TO

Date: 12/31/2022

Series 6TO

Date: 12/31/2022

SIE

Date: 10/1/2018

Series 7

Date: 3/19/1983

Series 6

Date: 6/11/1982

Current Firm

CHAPIN, DAVIS

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

CHAPIN, DAVIS

TRUST BUT VERIFY

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