JC
John S. Crain
CHAPIN, DAVIS
Reisterstown, MD
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CRD#: 2748785
JC
Professional summary
John Stuart Crain is a registered financial advisor currently at CHAPIN, DAVIS located in Reisterstown, Maryland.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Crump Insurance, not investment related, 4135 N. Front St. Harrisburg, PA 17100, Life, Health, LTC, and DI Insurance Agency, Agent, August 22, 2011, 2 hours per month, 2 hours per month during securities trading hours, Agent selling Life, Health, LTC, DI Insurance and Fixed annuities. Chapin Davis Insurance, Inc.; investment related; 1411 Clarkview Road, Baltimore, MD 21209; Insurance Agency; Agent; March 2018 start date; 2 hours per month; 2 hours during securities trading hours; variable insurance products to satisfy client insurance needs.
CRS (Client Relationship Summary) - RIA
Click below to view John Stuart Crain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Stuart Crain'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
March 1, 2018 - Present
CHAPIN, DAVIS
RIA
BD
CRD#: 28116
Reisterstown, MD
Current
March 1, 2018 - Present
CHAPIN, DAVIS
Office #1: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Baltimore, MD
Past
December 13, 2002 - March 6, 2018
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
BALTIMORE, MD
Past
December 13, 2002 - March 6, 2018
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BALTIMORE, MD
Past
April 5, 2002 - December 14, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
BALTIMORE, MD
Past
July 13, 2001 - December 14, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
June 19, 1996 - July 16, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Alabama(5/5/2021)
RR
California(7/15/2020)
RR
Colorado(5/31/2023)
RR
Delaware(3/1/2018)
RR
District of Columbia(5/13/2021)
RR
Florida(3/1/2018)
RR
Maryland(3/1/2018)
IAR
Maryland(3/1/2018)
RR
Nevada(3/5/2020)
RR
New Jersey(3/1/2018)
RR
New York(3/1/2018)
RR
North Carolina(7/20/2020)
RR
Ohio(9/27/2024)
RR
Pennsylvania(3/1/2018)
RR
South Carolina(9/10/2018)
RR
Utah(5/27/2021)
RR
Virginia(5/12/2021)
RR
West Virginia(5/13/2021)
RR
Wisconsin(3/1/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
