SB
Sammy M. Barsa
CHAPIN, DAVIS
MENDHAM, NJ
Some features on this profile are disabled
CRD#: 2103822
SB
Professional summary
Sammy Michael Barsa, who also goes by S Michael Barsa, Sam Barsa, is a registered financial advisor currently at CHAPIN, DAVIS located in Mendham, New Jersey.
Sammy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Sammy has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
S Michael Barsa | Sam Barsa
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.
SELF-SAMMY BARSA. IS NOT INVESTMENT RELATED. 20 CONIFER DR, MENDHAM TOWNSHIP, NJ 07945. NATURE OF BUSINESS: VERIZON WIRELESS LEASING GROUND SPACE AT HOME PROPERTY FOR A CELL SITE. POSITION IS HOMEOWNER. STARTED 4-12-07. ZERO HOURS DEVOTED TO BUSINESS. DUTIES ARE AS HOMEOWNER/LESSOR TO VERIZON WIRELESS, WHICH RENTS SPACE ON PROPERTY FOR CELL TOWER// HEALTH INSURANCE SALES. IS INVESTMENT RELATED. 20 CONIFER DR, MENDHAM TOWNSHIP, NJ 07945. NATURE OF BUSINESS IS HEALTH INSURANCE SALES. TITLE IS AGENT. START 9/15/08. 1 HR/MTH, NONE DURING SEC TRADING HRS. DUTY IS SELLING HEALTH INSURANCE // Chapin Davis Insurance, Inc. / investment related / 1411 Clarkview Road, Baltimore, MD 21209 / Insurance Agency / Sales Agent / Agent / 05/28/2024 start date / 8 hours per month / 8 hours during securities trading hours / sales and service of variable and fixed insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Sammy Michael Barsa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sammy Michael Barsa'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 27, 2016 - Present
CHAPIN, DAVIS
RIA
BD
CRD#: 28116
MENDHAM, NJ
Current
June 24, 2016 - Present
CHAPIN, DAVIS
Office #1: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Baltimore, MD
Past
November 7, 2007 - June 23, 2016
NATIONS FINANCIAL GROUP, INC.
RIA
CRD#: 44181
MENDHAM TOWNSHIP, NJ
Past
October 26, 2007 - June 23, 2016
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
MENDHAM TOWNSHIP, NJ
Past
October 15, 2003 - November 2, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
SHORT HILLS, NJ
Past
July 23, 2002 - November 2, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
SHORT HILLS, NJ
Past
December 11, 1990 - July 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(7/20/2021)
RR
California(9/19/2024)
RR
Connecticut(6/24/2016)
RR
Florida(6/24/2016)
RR
Illinois(6/24/2016)
RR
New Hampshire(12/6/2019)
RR
New Jersey(6/27/2016)
IAR
New Jersey(6/27/2016)
RR
New York(6/24/2016)
RR
North Carolina(6/24/2016)
RR
Pennsylvania(6/24/2016)
RR
Texas(8/19/2016)
RR
Virginia(6/24/2016)
Exams
State Security Law Exam
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
