David K. Faulkner
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.
David Keith Faulkner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2016 - February 10, 2017
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 29, 2007 - January 19, 2016
PACIFIC SELECT DISTRIBUTORS, LLC
April 5, 2006 - October 11, 2007
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 18, 2003 - March 29, 2006
TOWER SQUARE SECURITIES, INC.
October 29, 1996 - July 10, 2002
MORGAN STANLEY DW INC.
October 27, 1994 - July 15, 1996
VP DISTRIBUTORS LLC
August 10, 1992 - September 30, 1994
STEPHENS
March 29, 1989 - October 20, 1992
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 3, 1986 - March 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
July 1, 1985 - June 16, 1986
PEGASUS CAPITAL CORPORATION
November 30, 1983 - May 28, 1985
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
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.
