Thomas Allen Brubaker
Professional Summary
Thomas Allen Brubaker is a registered financial advisor currently at CHAPIN, DAVIS located in Peoria, Illinois. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1978. Thomas has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
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
Contact Information
Main Address
1411 Clarkview Road, Baltimore, MD 21209Mailing Address
1411 Clarkview Road, Baltimore, MD 21209Phone Number
(410) 435-3200Established
Maryland since 12/12/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
26SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
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
779AUM (Assets Under Management)
$642,788,940Disclosures
Regulatory Event
11Civil Event
1Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/29/2025 | Cover Page | Report |
| 01/27/2025 | Cover Page | Report |
| 04/26/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
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
State Registrations and Notice Filings
(4/22/2020)
(9/26/2013)
(4/13/2026)
(1/21/2022)
(7/18/2023)
(5/22/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Allen Brubaker's CRS (Customer Relationship Summary).
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