Samuel D. Chaplin

PENOBSCOT FINANCIAL ADVISORS

Portland, ME 04101

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CRD#: 7053342

Professional summary

Samuel David Chaplin, who also goes by Sam David Chaplin, is a registered financial advisor currently at PENOBSCOT FINANCIAL ADVISORS located in Portland, Maine.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Samuel has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sam David Chaplin

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) - RIA

Click below to view Samuel David Chaplin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 1, 2019 - Present

PENOBSCOT FINANCIAL ADVISORS

Office #1: One Monument Square Suite 501, Portland, ME 04101

RIA

CRD#: 286211

Portland, ME

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".

PENOBSCOT FINANCIAL ADVISORS

PENOBSCOT FINANCIAL ADVISORS | PENOBSCOT WEALTH MANAGEMENT

CRD#: 286211 / SEC#: 801-108988

RIA

Registered Investment Advisory firm - (1/25/2017 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Maine
(2/1/2019)

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: 1/18/2019

Uniform Investment Adviser Law Examination

Current Firm

PENOBSCOT FINANCIAL ADVISORS

PENOBSCOT FINANCIAL ADVISORS | PENOBSCOT WEALTH MANAGEMENT

CRD#: 286211 / SEC#: 801-108988

RIA

Registered Investment Advisory firm - (1/25/2017 Approved)

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Contact information

Main Address

One Monument Square Suite 501, Portland, ME 04101

Mailing Address

Phone number

(207) 990-1901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PENOBSCOT FINANCIAL ADVISORS DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (7/7/2025)

Regulatory assets under management

Total Number of Accounts	1,925
AUM (Assets Under Management)	$ 434,543,021

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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Samuel D. Chaplin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Samuel David Chaplin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENOBSCOT FINANCIAL ADVISORS

Primary Firm SEC Registration

PENOBSCOT FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2019

Current Firm

PENOBSCOT FINANCIAL ADVISORS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENOBSCOT FINANCIAL ADVISORS

TRUST BUT VERIFY

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