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Thomas Elliot Bauer

T. Rowe Price Associates, Inc.

Mission Hills, KS

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Current Employers
T. Rowe Price Associates, Inc.

1307 Point Street, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2017-04-13
KS RA APPROVED 2017-04-11
  • MD RA
    APPROVED
    Since 2017-04-13
  • KS RA
    APPROVED
    Since 2017-04-11

Branch Locations

Mission Hills, KS • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
T. Rowe Price Owings Mills MD 07/2015 Present
  • 07/2015 → Present
    T. Rowe Price
    Owings Mills, MD
Previous Registrations
  • 2014-04-08 → 2015-07-27
    Neuberger Berman Bd Llc
    Fairway, KS
    Dallas, TX
  • 2012-01-12 → 2014-04-18
    Curian Capital, Llc
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-03
S63 Uniform Securities Agent State Law Examination 2006-10-19
  • S66 Uniform Combined State Law Examination
    2012-02-03
  • S63 Uniform Securities Agent State Law Examination
    2006-10-19
Other Names
  • Thomas Bauer
  • Tom Bauer

View on SEC IAPD

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