George S. Smith

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CRD#: 427658

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.

George Sherman Smith was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1970. George had worked at 7 firms and has passed the Series 65, Series 63, Series 5, PC, Series 000 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

September 7, 2010 - April 1, 2013

CHAPIN, DAVIS

CRD#: 28116

FRANKLIN, PA

Past

June 25, 2005 - September 16, 2010

JANNEY MONTGOMERY SCOTT LLC

RIA

CRD#: 463

OIL CITY, PA

Past

June 25, 2005 - September 16, 2010

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

OIL CITY, PA

Past

April 28, 2005 - June 25, 2005

PARKER/HUNTER INCORPORATED

RIA

CRD#: 7324

OIL CITY, PA

Past

July 19, 1989 - June 25, 2005

PARKER/HUNTER INCORPORATED

CRD#: 7324

PITTSBURGH, PA

Past

December 16, 1983 - July 24, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Past

November 30, 1982 - December 20, 1983

CHAPLIN-MULLAUGH INCORPORATED

CRD#: 10605

Past

October 31, 1980 - January 27, 1983

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 5, 1977 - November 9, 1982

PARKER/HUNTER INCORPORATED

CRD#: 7324

Past

January 14, 1970 - January 5, 1977

PARKER/HUNTER INCORPORATED

CRD#: 480

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: 2/10/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/18/1982

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 11/7/1978

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 4/19/1966

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 4/19/1966

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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Advisor Monitoring

Firm Stability Insights

George S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

PARKER/HUNTER INCORPORATED

PARKER/HUNTER INCORPORATED

THOMSON MCKINNON SECURITIES INC.

CHAPLIN-MULLAUGH INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

PARKER/HUNTER INCORPORATED

PARKER/HUNTER INCORPORATED

Primary Firm SEC Registration

CHAPIN, DAVIS

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/1994

Series 63

Date: 7/27/1982

Series 5

Date: 10/18/1982

PC

Date: 11/7/1978

Series 000

Date: 4/19/1966

Series 1

Date: 4/19/1966

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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