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FT

Francis Tighe

T. ROWE PRICE INVESTMENT SERVICES
Owings Mills, MD 21117
Some features on this profile are disabled
CRD#: 2305163
FT

Professional summary

Francis Tighe, who also goes by Frank Tighe, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.

Francis is registered as a RR (Registered Representative) and started their career in finance in 1993. Francis has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frank Tighe

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Tighe's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 28, 2024 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: Two Financial Center 4545 Painters Mill Road, Owings Mills, MD 21117
BD
CRD#: 8348
Owings Mills, MD
Past

October 17, 2019 - June 3, 2024

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

May 21, 2014 - October 15, 2019

HARTFORD FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45995
WAYNE, PA
Past

March 9, 2011 - May 28, 2014

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
LAKE MARY, FL
Past

March 26, 2009 - December 31, 2010

MMC SECURITIES LLC

BD
CRD#: 103846
HOUSTON, TX
Past

August 28, 2007 - March 16, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 11, 2005 - January 29, 2007

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
HOUSTON, TX
Past

March 6, 2002 - February 26, 2004

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
HOUSTON, TX
Past

October 15, 1998 - February 26, 2004

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 18, 1994 - October 7, 1998

M. J. WHITMAN, INC.

BD
CRD#: 27870
NEW YORK, NY
Past

October 4, 1993 - May 18, 1994

HYM FINANCIAL, INC.

BD
CRD#: 16983
CLIFTON, NJ
Past

January 4, 1993 - October 7, 1993

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/28/2024)
RR
Alaska
(6/28/2024)
RR
Arizona
(6/28/2024)
RR
Arkansas
(6/28/2024)
RR
California
(6/28/2024)
RR
Colorado
(6/28/2024)
RR
Connecticut
(6/28/2024)
RR
Delaware
(6/28/2024)
RR
District of Columbia
(6/28/2024)
RR
Florida
(6/28/2024)
RR
Georgia
(6/28/2024)
RR
Hawaii
(6/28/2024)
RR
Idaho
(6/28/2024)
RR
Illinois
(7/23/2024)
RR
Indiana
(6/28/2024)
RR
Iowa
(6/28/2024)
RR
Kansas
(6/28/2024)
RR
Kentucky
(6/28/2024)
RR
Louisiana
(6/28/2024)
RR
Maine
(6/28/2024)
RR
Maryland
(6/28/2024)
RR
Massachusetts
(6/28/2024)
RR
Michigan
(6/28/2024)
RR
Minnesota
(6/28/2024)
RR
Mississippi
(6/28/2024)
RR
Missouri
(6/28/2024)
RR
Montana
(6/28/2024)
RR
Nebraska
(6/28/2024)
RR
Nevada
(6/28/2024)
RR
New Hampshire
(6/28/2024)
RR
New Jersey
(6/28/2024)
RR
New Mexico
(6/28/2024)
RR
New York
(6/28/2024)
RR
North Carolina
(6/28/2024)
RR
North Dakota
(6/28/2024)
RR
Ohio
(6/28/2024)
RR
Oklahoma
(7/1/2024)
RR
Oregon
(6/28/2024)
RR
Pennsylvania
(6/28/2024)
RR
Puerto Rico
(6/28/2024)
RR
Rhode Island
(6/28/2024)
RR
South Carolina
(6/28/2024)
RR
South Dakota
(6/28/2024)
RR
Tennessee
(6/28/2024)
RR
Texas
(6/28/2024)
RR
Utah
(6/28/2024)
RR
Vermont
(6/28/2024)
RR
Virgin Islands
(6/28/2024)
RR
Virginia
(6/28/2024)
RR
Washington
(6/28/2024)
RR
West Virginia
(6/28/2024)
RR
Wisconsin
(6/28/2024)
RR
Wyoming
(6/28/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/23/1992
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
T. ROWE PRICE INVESTMENT SERVICES, INC.
ROWE PRICE MARKETING, INC. | T. ROWE PRICE MARKETING, INC. | T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348 / SEC#: , 8-25130

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1307 Point Street, Baltimore, MD 21231
Mailing Address
1307 Point Street, Baltimore, MD 21231
Phone number
(410) 345-2000
Established
Maryland since 06/10/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T. ROWE PRICE ASSOCIATES, INC.SHAREHOLDER
BROWN, ANNE WHITESCARVERVICE PRESIDENT/DIRECTOR2396529
COYNE, TIMOTHY JOHNDIRECTOR2096849
HERR, DAVID JVICE PRESIDENT/DIRECTOR7659903
KORENMAN, PHILLIPPRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD4531831
MUMFORD, STEPHANIE PETERSVICE PRESIDENT/CCO2725261
NEWMAN, CHRISTOPHER CUDDYVICE PRESIDENT/DIRECTOR2037516
NYCE, BRITTONVICE PRESIDENT/CONTROLLER7313600

Disclosures

Regulatory Event1
Arbitration3

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.

Company Information

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348Owings Mills, MD 21117

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