WP
William J. Pearce
CHAPIN, DAVIS
Shavertown, PA 18708
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CRD#: 1225949
WP
Professional summary
William James Pearce is a registered financial professional currently at CHAPIN, DAVIS located in Shavertown, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 1984. William has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 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.
Rental Property, not investment related, 2 S. Main St Shavertown, PA 18708, rental property, owner, 1/1/1980, 5% of time devoted to business, no hours during trading hours, maintain property and collect rent
CRS (Client Relationship Summary) - BD
Click below to view William James Pearce'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
September 4, 2020 - Present
CHAPIN, DAVIS
Office #1: 4 Main St., Shavertown, PA 18708RIA
BD
CRD#: 28116
Shavertown, PA
Past
September 4, 2020 - April 1, 2024
CHAPIN, DAVIS
RIA
CRD#: 28116
BALTIMORE, MD
Past
July 19, 2006 - September 14, 2020
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
KINGSTON, PA
Past
November 29, 2005 - September 14, 2020
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
KINGSTON, PA
Past
January 1, 2004 - December 2, 2005
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
PITTSBURGH, PA
Past
October 8, 1999 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
February 24, 1984 - October 14, 1999
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
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
Arizona(9/4/2020)
RR
California(9/8/2020)
RR
Delaware(7/20/2023)
RR
Florida(9/4/2020)
RR
Illinois(10/13/2020)
RR
New Jersey(9/4/2020)
RR
New York(9/4/2020)
RR
North Carolina(7/22/2021)
RR
Ohio(9/4/2020)
RR
Pennsylvania(9/4/2020)
RR
South Carolina(9/4/2020)
RR
Vermont(10/24/2024)
RR
Washington(9/14/2020)
Exams
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: 9/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
