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Employer firm

T. Rowe Price Associates, Inc. CRD 105496

$2.20T regulatory AUM 83 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
T. Rowe Price Associates, Inc.

1307 Point Street, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2023-06-16
KS RA APPROVED 2023-06-13
  • MD RA
    APPROVED
    Since 2023-06-16
  • KS RA
    APPROVED
    Since 2023-06-13

Branch Locations

Overland Park, KS • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pioneer Investments Boston MA 08/2010 05/2023
T. Rowe Price Baltimore MD 05/2023 Present
  • 08/2010 → 05/2023
    Pioneer Investments
    Boston, MA
  • 05/2023 → Present
    T. Rowe Price
    Baltimore, MD
Previous Registrations
  • 2021-01-04 → 2023-05-19
    Amundi Asset Management Us, Inc.
    Boston, MA
  • 2010-09-03 → 2020-12-31
    Amundi Pioneer Institutional Asset Management, Inc.
    Boston, MA
  • 2008-08-07 → 2010-08-31
    Boston, MA
Other Businesses

Mission Forest HOA; Non-Investment Related; 2/1/2024; Treasurer; Overland Park, KS 66207; Responsibilities include overseeing the activities of the homeowner's association and related accounting and bookkeeping duties; 1 hour per month; 0 during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-23
S63 Uniform Securities Agent State Law Examination 2007-06-12
  • S65 Uniform Investment Adviser Law Examination
    2008-06-23
  • S63 Uniform Securities Agent State Law Examination
    2007-06-12
Other Names
  • Mark D. Tishman
  • Mark David Tishman

View on SEC IAPD

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