CS
Carol Scicchitano
CHAPIN, DAVIS
Bala Cynwyd, PA 19004
Some features on this profile are disabled
CRD#: 1703075
CS
Professional summary
Carol Scicchitano, who also goes by Carol Klotz, is a registered financial advisor currently at CHAPIN, DAVIS located in Bala Cynwyd, Pennsylvania and PHILADELPHIA PARTNERS CAPITAL MANAGEMENT, LLC located in Bala Cynwyd, Pennsylvania.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Carol has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Klotz
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.
Philadelphia Partners Capital Management, LLC, Investment related, (not under common ownership with Chapin Davis), 2 Bala Plaza Suite 604 Bala Cynwyd PA 19904, Registered Investment Advisor, registered investment adviser / Sr. Vice President and CCO, April 16, 2018. 10 hours per week during trading hours, provide investment advice and ongoing account monitoring and compliance oversight.
CRS (Client Relationship Summary) - RIA
Click below to view Carol Scicchitano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol Scicchitano'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
June 13, 2018 - Present
CHAPIN, DAVIS
Office #1: 2 Bala Plaza Suite 604, Bala Cynwyd, PA 19004RIA
BD
CRD#: 28116
Bala Cynwyd, PA
Current
October 9, 2018 - Present
PHILADELPHIA PARTNERS CAPITAL MANAGEMENT, LLC
Office #1: 2 Bala Plaza Suite 604, Bala Cynwyd, PA 19004RIA
CRD#: 294016
Bala Cynwyd, PA
Current
June 13, 2018 - Present
CHAPIN, DAVIS
Office #1: 2 Bala Plaza Suite 604, Bala Cynwyd, PA 19004RIA
BD
CRD#: 28116
Bala Cynwyd, PA
Past
April 19, 2018 - June 12, 2018
PHILADELPHIA PARTNERS CAPITAL MANAGEMENT, LLC
RIA
CRD#: 294016
WEST CONSHOHOCKEN, PA
Past
April 19, 2018 - June 12, 2018
CV BROKERAGE, INC
BD
CRD#: 462
WILLIAMSTOWN, NJ
Past
July 1, 2009 - April 23, 2018
BOENNING & SCATTERGOOD, INC.
RIA
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
January 16, 2007 - April 23, 2018
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
WEST CONSHOHOCKEN, PA
Past
January 10, 2006 - February 2, 2006
HAVERFORD TRUST SECURITIES, INC.
BD
CRD#: 13214
RADNOR, PA
Past
November 12, 2004 - December 31, 2005
HAVERFORD TRUST SECURITIES, INC.
BD
CRD#: 13214
RADNOR, PA
Past
November 9, 1999 - May 26, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 30, 1998 - November 4, 1999
SCHRODER & CO. INC.
BD
CRD#: 6112
NEW YORK, NY
Past
February 24, 1988 - February 13, 1990
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(10/29/2025)
RR
California(4/28/2023)
RR
Colorado(10/29/2025)
RR
Connecticut(10/29/2025)
RR
Delaware(6/13/2018)
RR
District of Columbia(10/29/2025)
RR
Florida(6/13/2018)
RR
Georgia(6/13/2018)
RR
Illinois(6/13/2018)
RR
Maine(10/2/2025)
RR
Maryland(10/2/2025)
RR
Nevada(10/29/2025)
RR
New Hampshire(10/29/2025)
RR
New Jersey(6/13/2018)
RR
New York(6/13/2018)
RR
North Carolina(6/13/2018)
RR
Ohio(10/2/2025)
RR
Oregon(10/29/2025)
RR
Pennsylvania(6/13/2018)
IAR
Pennsylvania(6/13/2018)
RR
South Carolina(10/2/2025)
RR
Texas(6/13/2018)
RR
Washington(11/17/2022)
RR
West Virginia(10/29/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
