RK
Robert J. Kaehler
CHAPIN, DAVIS
Dover, DE
Some features on this profile are disabled
CRD#: 2858149
RK
Professional summary
Robert James Kaehler, who also goes by Rob Kaehler, Robert J Kaehler, is a registered financial advisor currently at CHAPIN, DAVIS located in Dover, Delaware.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Robert has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rob Kaehler | Robert J Kaehler
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.
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Kaehler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert James Kaehler'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
January 16, 2024 - Present
CHAPIN, DAVIS
Office #2: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Dover, DE
Current
January 17, 2024 - Present
CHAPIN, DAVIS
Office #1: 1411 Clarkview Road, Baltimore, MD 21209RIA
BD
CRD#: 28116
Baltimore, MD
Past
December 3, 2021 - March 4, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
December 1, 2021 - March 4, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Dover, DE
Past
January 13, 2017 - August 16, 2019
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HORSHAM, PA
Past
May 7, 2013 - November 10, 2016
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEWARK, DE
Past
June 13, 2012 - November 20, 2012
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
Past
February 28, 2005 - June 11, 2012
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
NEWARK, DE
Past
August 18, 2000 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
July 7, 1998 - July 25, 2000
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
March 6, 1997 - June 11, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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
Delaware(5/17/2024)
IAR
Delaware(5/17/2024)
IAR
Maryland(1/16/2024)
RR
Maryland(1/17/2024)
RR
South Dakota(5/7/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
