David H. Applestein
Professional summary
David Harold Applestein is a registered financial advisor currently at T. ROWE PRICE ADVISORY SERVICES, INC. located in San Diego, California and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 8 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 6TO, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Harold Applestein's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 18, 2025 - Present
T. ROWE PRICE ADVISORY SERVICES, INC.
June 8, 2023 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Two Financial Center 4545 Painters Mill Road, Owings Mills, MD 21117May 29, 2021 - April 26, 2023
PRINCIPAL SECURITIES, INC.
April 28, 2005 - January 31, 2006
DUNHAM
April 28, 2005 - January 31, 2006
DUNHAM
March 16, 2000 - May 12, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
December 1, 1999 - May 12, 2005
STRATEGIC ADVISERS LLC
February 16, 1998 - March 8, 2000
FIDELITY BROKERAGE SERVICES LLC
August 2, 1995 - November 18, 1997
DEAM INVESTOR SERVICES, INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 2/23/2024
General Securities Representative ExaminationSeries 6TO
Date: 5/11/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
