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CT

Cleavon Tidball

Some features on this profile are disabled
CRD#: 2615359
CT

Professional summary

Cleavon Tidball was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Cleavon is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Cleavon had worked at 4 firms, which includes T. ROWE PRICE INVESTMENT SERVICES INC., TRANSAMERICA INVESTORS SECURITIES LLC, MISSIONSQUARE INVESTMENT SERVICES, WOODBURY FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cleavon Lachant Tidball | Cleavon Tidball

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2019 - March 10, 2020

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
OWINGS MILLS, MD
Past

January 9, 2004 - September 29, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
BALTIMORE, MD
Past

October 25, 1999 - November 12, 2003

MISSIONSQUARE INVESTMENT SERVICES

BD
CRD#: 23189
WASHINGTON, DC
Past

June 20, 1995 - October 2, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/29/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/22/1999
Investment Company Products/Variable Contracts Representative Examination

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.

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Company Information

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

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