Robert M. Tharin
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.
Robert Manley Tharin JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2007 - March 14, 2016
T. ROWE PRICE ADVISORY SERVICES, INC.
October 20, 1994 - March 14, 2016
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 8, 1992 - May 10, 1994
WALNUT STREET SECURITIES, INC.
June 8, 1988 - August 22, 1990
TOWER SQUARE SECURITIES, INC.
February 27, 1985 - September 25, 1985
FLORIDA INVESTORS NETWORK, INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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 ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
