Thomas N. Thibeault

CHAPIN, DAVIS

Baltimore, MD 21209

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CRD#: 2101765

Professional summary

Thomas Nelson Thibeault, who also goes by Thomas Thibeault, is a registered financial advisor currently at CHAPIN, DAVIS located in Baltimore, Maryland.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Thibeault

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) - RIA

Click below to view Thomas Nelson Thibeault's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Nelson Thibeault'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

October 16, 2009 - Present

CHAPIN, DAVIS

Office #1: 1411 Clarkview Road, Baltimore, MD 21209Office #2: 1411 Clarkview Road, Baltimore, MD 21209Office #3: 1411 Clarkview Road, Baltimore, MD 21209

RIA

CRD#: 28116

Baltimore, MD

Current

October 16, 2009 - Present

CHAPIN, DAVIS

Office #1: 1411 Clarkview Road, Baltimore, MD 21209Office #2: 1411 Clarkview Road, Baltimore, MD 21209Office #3: 1411 Clarkview Road, Baltimore, MD 21209

RIA

CRD#: 28116

Baltimore, MD

Past

January 24, 2007 - October 6, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HUNT VALLEY, MD

Past

December 15, 2006 - October 6, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HUNT VALLEY, MD

Past

November 11, 2003 - November 6, 2006

MOUNT VERNON ASSOCIATES INC

RIA

CRD#: 107099

BALTIMORE, MD

Past

January 13, 2001 - July 24, 2003

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 23, 1999 - July 24, 2003

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

BALTIMORE, MD

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

February 8, 1994 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

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

California
(10/16/2009)

Colorado
(12/3/2019)

Connecticut
(8/18/2022)

IAR

Connecticut
(8/18/2022)

Delaware
(1/1/2017)

District of Columbia
(3/2/2021)

Maryland
(10/16/2009)

IAR

Maryland
(10/16/2009)

New York
(7/13/2011)

North Carolina
(10/16/2009)

Ohio
(1/3/2017)

Oregon
(9/23/2024)

Pennsylvania
(1/1/2017)

Texas
(8/18/2011)

Virginia
(10/16/2009)

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

Series 63

Date: 8/30/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/13/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/23/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/2/1990

Municipal 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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Firm Stability Insights

Thomas N. Thibeault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Nelson Thibeault's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Nelson Thibeault's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHAPIN, DAVIS

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MOUNT VERNON ASSOCIATES INC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

CHAPIN, DAVIS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2007

Series 65

Date: 7/13/1999

SIE

Date: 10/1/2018

Series 7

Date: 1/23/2007

Series 53

Date: 10/2/1990

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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