Talbot J. Albert

CHAPIN, DAVIS

Baltimore, MD 21209

Some features on this profile are disabled

CRD#: 1620715

Professional summary

Talbot Jones Albert IV, who also goes by T J Albert IV, T J Albert, Tolly Albert Iv, Tolly Albert, is a registered financial advisor currently at CHAPIN, DAVIS located in Baltimore, Maryland.

Talbot is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Talbot has worked at 2 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

T J Albert Iv | T J Albert | Tolly Albert Iv | Tolly Albert

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.

T.J. Albert Racing LLC, 1411 Clarkview Rd. Baltimore, MD 21209. Started 05/05/1982. OWNER & TRAINER OF THOUROUGHBRED RACE HORSES. IN PARTNERSHIP WITH HIS SISTER. THIS IS NOT AN INVESTMENT RELATED BUSINESS AND WE SPEND LESS THEN 15 HOURS PER WEEK OPERATING THE BUSINESS, none during trading hours. Uphill Farm LLC, 2700 Putnam Road, Forest Hill MD, 21050. Started 09/08/2004. Partner of a family owned farm. No comp, not investment related. Less than 5 hours per week spent on this activity, none during trading hours. Chapin Davis Insurance Inc., investment related, 1411 Clarkview Rd. Baltimore, MD 21209, sales of variable and fixed insurance products, agent and owner, 01/01/1990, 2 hours/month during trading hours, sales of insurance products to meet clients' insurance needs. Sons of the American Revolution, 1872 L'Hirondelle Club Road, Ruxton Maryland, 21204, non-profit org promoting American history, Investment Committee volunteer, 12/15/2022, will help organization with investment decisions, but will not receive any fees. 1 hour per week not during trading hours. Maryland Horsebreeders, not investment-related, 321 Main Street, Reisterstown MD 21136, to represent Maryland horse breeders, Board Member, Director, 9-20-2024, 4 hours per month, 4 hours per month, attend board meetings.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Talbot Jones Albert IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Talbot Jones Albert IV's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 1, 1994 - Present

CHAPIN, DAVIS

Office #1: 1411 Clarkview Road, Baltimore, MD 21209Office #2: 1411 Clarkview Road, Baltimore, MD 21209

RIA

CRD#: 28116

Baltimore, MD

Current

March 15, 1991 - Present

CHAPIN, DAVIS

Office #1: 1411 Clarkview Road, Baltimore, MD 21209Office #2: 1411 Clarkview Road, Baltimore, MD 21209

RIA

CRD#: 28116

Baltimore, MD

Past

June 26, 1987 - April 10, 1991

JONES FALLS SECURITIES INC.

CRD#: 1437

BALTIMORE, MD

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(10/6/2016)

Alaska
(10/6/2016)

Arizona
(10/6/2016)

Arkansas
(10/6/2016)

California
(5/3/2007)

Colorado
(9/7/2016)

Connecticut
(10/6/2016)

Delaware
(10/6/2016)

District of Columbia
(10/6/2016)

Florida
(5/20/1991)

Georgia
(10/6/2016)

Hawaii
(10/6/2016)

Idaho
(10/6/2016)

Illinois
(5/3/2007)

Indiana
(10/6/2016)

Iowa
(10/6/2016)

Kentucky
(10/6/2016)

Louisiana
(10/6/2016)

Maine
(10/6/2016)

Maryland
(3/15/1991)

IAR

Maryland
(1/1/1994)

Massachusetts
(10/6/2016)

Michigan
(10/6/2016)

Minnesota
(10/6/2016)

Mississippi
(10/6/2016)

Missouri
(10/6/2016)

Montana
(10/6/2016)

Nebraska
(10/6/2016)

Nevada
(10/6/2016)

New Hampshire
(10/6/2016)

New Jersey
(10/6/2016)

New Mexico
(10/6/2016)

New York
(9/12/2006)

North Carolina
(8/30/2011)

Ohio
(10/7/2016)

Oklahoma
(10/6/2016)

Oregon
(10/6/2016)

Pennsylvania
(5/3/2007)

Puerto Rico
(3/15/2023)

Rhode Island
(10/6/2016)

South Carolina
(10/6/2016)

South Dakota
(1/28/2016)

Tennessee
(6/12/2024)

Texas
(3/30/2016)

Utah
(10/6/2016)

Vermont
(10/6/2016)

Virginia
(5/3/2007)

Washington
(10/6/2016)

West Virginia
(10/6/2016)

Wisconsin
(10/6/2016)

Wyoming
(10/6/2016)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/15/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/30/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/1/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1991

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Talbot J. Albert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Talbot Jones Albert IV's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Talbot Jones Albert IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHAPIN, DAVIS

JONES FALLS SECURITIES INC.

Primary Firm SEC Registration

CHAPIN, DAVIS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/15/1993

Series 63

Date: 7/22/1987

Series 79TO

Date: 1/30/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1987

Series 53

Date: 11/1/1993

Series 24

Date: 2/27/1991

FINRA

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

Contact information

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