Vikas Rishi
Professional summary
Vikas Rishi is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Baltimore, Maryland and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Vikas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Vikas has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Vikas Rishi's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2020 - Present
T. ROWE PRICE ASSOCIATES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231October 10, 2019 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231September 10, 2019 - September 13, 2019
OPPENHEIMER & CO. INC.
September 10, 2019 - September 13, 2019
OPPENHEIMER & CO. INC.
June 6, 2018 - July 30, 2019
SAXONY CAPITAL MANAGEMENT, LLC
May 24, 2018 - July 30, 2019
PATRICK CAPITAL MARKETS, LLC
February 14, 2011 - April 11, 2017
PIMCO INVESTMENTS LLC
March 24, 2008 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 3, 2003 - February 6, 2008
OPPENHEIMER & CO. INC.
October 2, 1998 - January 3, 2003
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
State Registrations and Notice Filings
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Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
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.
