Floyd Lankford

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CRD#: 302218

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Floyd Lankford III was a registered financial professional .

Floyd is a previously registered financial professional and started their career in finance in 1965. Floyd had worked at 7 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 1, 2017 - January 27, 2023

CHAPIN, DAVIS

RIA

CRD#: 28116

BALTIMORE, MD

Past

March 13, 2009 - December 16, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

BALTIMORE, MD

Past

March 13, 2009 - December 16, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

BALTIMORE, MD

Past

July 23, 2004 - March 13, 2009

FERRIS, BAKER WATTS, LLC

RIA

CRD#: 285

BALTIMORE, MD

Past

July 21, 2004 - March 13, 2009

FERRIS, BAKER WATTS, LLC

CRD#: 285

BALTIMORE, MD

Past

February 8, 2000 - August 4, 2004

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BALTIMORE, MD

Past

January 21, 1997 - August 4, 2004

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

January 28, 1995 - January 20, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 3, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

December 27, 1965 - August 3, 1993

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/20/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/16/2016

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 5/17/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 12/22/1965

Registered Representative Examination

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.

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Firm Stability Insights

Floyd Lankford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

CHAPIN, DAVIS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 6/20/1980

SIE

Date: 12/16/2016

PC

Date: 5/17/1977

Series 1

Date: 12/22/1965

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

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