EH
Elisabeth A. Hayes
CHAPIN, DAVIS
Baltimore, MD 21209
Some features on this profile are disabled
CRD#: 1824604
EH
Professional summary
Elisabeth Albert Hayes, who also goes by Sarah Elisabeth Albert, Betsy Hayes, Sarah Elisabeth Albert Hayes, is a registered financial advisor currently at CHAPIN, DAVIS located in Baltimore, Maryland.
Elisabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Elisabeth has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 16 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarah Elisabeth Albert | Betsy Hayes | Sarah Elisabeth Albert Hayes
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. NON-INVESTMENT RELATED. 1720 Circle Road, Ruxton MD 21204 THOROUGHBRED RACING STABLE 1/2 OWNER, TREASURER, 5-10 hours 0 hours during trading hours CARE OF HORSES, FINANCE, BILLING TASKS, START DATE: 1/1/05 // Jr. League of Baltimore / non-investment related / 5902 York Rd Baltimore, MD 21212 / Volunteer / Volunteer / April 23, 2025 / 2 hours / 0 during trading hours / volunteer // UPHILL FARM LLC, NON-INVESTMENT RELATED. FAMILY FARM. 11.1% OWNER, TREASURER, FINANCE, BILLING TASKS. 2 HOURS / 0 during trading hours // Executive Alliance, Non profit volunteer. Non-Investment related. Serves on the Women on Corporate Boards Committee. // Personal representative, Estate of Peter Winkenwerder. Non-investment related, no compensation, limited hours. // Estate of Caroline King Warfield / non-investment / 3700 Belmont Ave, Reisterstown, MD 21136 / personal rep / March 2020 / 5 hours / 0 during trading hours / pay bills and file documents
CRS (Client Relationship Summary) - RIA
Click below to view Elisabeth Albert Hayes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elisabeth Albert Hayes'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
April 11, 2003 - Present
CHAPIN, DAVIS
Office #1: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Baltimore, MD
Current
March 21, 1991 - Present
CHAPIN, DAVIS
Office #1: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Baltimore, MD
Past
March 5, 1991 - March 27, 1991
JONES FALLS SECURITIES INC.
BD
CRD#: 1437
BALTIMORE, MD
Past
July 5, 1988 - March 6, 1991
JOHNSTON, LEMON & CO. INCORPORATED
BD
CRD#: 473
WASHINGTON, DC
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(4/25/2019)
RR
California(7/19/2021)
RR
Colorado(6/12/2008)
RR
Delaware(1/1/2017)
RR
District of Columbia(4/25/2019)
RR
Florida(6/12/2008)
RR
Georgia(3/21/2013)
RR
Illinois(6/12/2008)
RR
Maine(4/24/2025)
RR
Maryland(3/21/1991)
IAR
Maryland(4/11/2003)
RR
Massachusetts(6/12/2008)
RR
Michigan(6/30/2025)
RR
New Jersey(6/12/2008)
RR
New Mexico(1/17/2020)
RR
New York(7/9/1991)
RR
North Carolina(6/12/2008)
RR
Pennsylvania(6/12/2008)
RR
South Carolina(6/12/2008)
RR
Tennessee(9/28/2023)
RR
Texas(1/18/2022)
RR
Virginia(1/28/2009)
RR
West Virginia(6/12/2008)
Exams
State Security Law Exam
State Security Law Exam
General 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.
