Arlene Klein
Professional summary
Arlene Klein, who also goes by Arlene Katsafouros, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Arlene is registered as a RR (Registered Representative) and started their career in finance in 1993. Arlene has worked at 10 firms and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arlene Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2023 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231October 23, 2017 - September 7, 2023
BLACKROCK INVESTMENTS, LLC
April 16, 2015 - October 16, 2017
GE CAPITAL MARKETS, INC.
December 14, 2010 - March 28, 2014
RBC CAPITAL MARKETS, LLC
September 22, 2008 - December 23, 2010
BARCLAYS CAPITAL INC.
July 9, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
February 9, 2005 - April 18, 2007
BANC OF AMERICA SECURITIES LLC
June 17, 2004 - February 9, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 2003 - April 13, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1993 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
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
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