SM
Seth Mitchell
T. ROWE PRICE ASSOCIATES
New York, NY 10003
Some features on this profile are disabled
CRD#: 2768061
SM
Professional summary
Seth Mitchell, who also goes by Seth M Kosik, Seth Mitchell Kosik, Seth Mitchell, Cfa, is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in New York, New York and T. ROWE PRICE INVESTMENT SERVICES, INC. located in New York, New York.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Seth has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth M Kosik | Seth Mitchell Kosik | Seth Mitchell, Cfa
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.
1) Insurance Agent at Mutual of Omaha Insurance Company. Start Date: 10/2022 (Non-investment-related: Insurance Lines of Business include Term Life, Whole Life, Variable Life, Index Life, Disability Insurance, Long Term Care, Health Insurance, Annuities). Hours/week during trading hours: 10 2) Insurance Agent at Gerber Life Insurance Company. Start Date: 2/2/2022 (Non-investment related: Insurance Lines of Business include Life Insurance). Hours/week during trading hours: 0 3) Director & Secretary, CFA Society of South Florida Board of Directors. Start Date: 7/1/2023 (Non-investment related, unpaid). Hours/week during trading hours: 1 4) Finance Chair (Non-Director Role), SHRM Palm Beach County Chapter. Start Date: 7/3/2023 (Non-investment related, unpaid). Hours/week during trading hours: 1
CRS (Client Relationship Summary) - RIA
Click below to view Seth Mitchell's 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®
NoneExperience
Current
April 8, 2024 - Present
T. ROWE PRICE ASSOCIATES, INC.
Office #1: 233 Park Ave S, New York, NY 10003RIA
CRD#: 105496
New York, NY
Current
April 8, 2024 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 233 Park Ave S., New York, NY 10003BD
CRD#: 8348
New York, NY
Past
October 13, 2022 - September 7, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
Boca Raton, FL
Past
October 12, 2022 - September 7, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
Boca Raton, FL
Past
April 21, 2022 - May 11, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
BOCA RATON, FL
Past
April 6, 2022 - May 11, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BOCA RATON, FL
Past
February 16, 2022 - March 14, 2022
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
PALM BEACH GARDENS, FL
Past
December 22, 2021 - March 14, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PALM BEACH GARDENS, FL
Past
June 3, 2021 - November 24, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
BOCA RATON, FL
Past
May 14, 2021 - November 24, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BOCA RATON, FL
Past
June 27, 2002 - November 12, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
July 1, 1998 - October 24, 1998
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
August 30, 1996 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
BD
CRD#: 5285
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(4/8/2024)
RR
Alaska(4/8/2024)
RR
Arizona(4/8/2024)
RR
Arkansas(4/8/2024)
RR
California(4/8/2024)
RR
Colorado(4/8/2024)
RR
Connecticut(4/8/2024)
RR
Delaware(4/8/2024)
RR
District of Columbia(4/8/2024)
RR
Florida(4/8/2024)
RR
Georgia(4/8/2024)
RR
Hawaii(4/8/2024)
RR
Idaho(4/8/2024)
RR
Illinois(4/8/2024)
RR
Indiana(4/8/2024)
RR
Iowa(4/8/2024)
RR
Kansas(4/8/2024)
RR
Kentucky(4/8/2024)
RR
Louisiana(4/8/2024)
RR
Maine(4/8/2024)
RR
Maryland(4/8/2024)
IAR
Maryland(4/8/2024)
RR
Massachusetts(4/8/2024)
RR
Michigan(4/8/2024)
RR
Minnesota(4/8/2024)
RR
Mississippi(4/8/2024)
RR
Missouri(4/8/2024)
RR
Montana(4/8/2024)
RR
Nebraska(4/8/2024)
RR
Nevada(4/8/2024)
RR
New Hampshire(4/8/2024)
RR
New Jersey(4/8/2024)
RR
New Mexico(4/8/2024)
RR
New York(4/8/2024)
RR
North Carolina(4/8/2024)
RR
North Dakota(4/8/2024)
RR
Ohio(4/8/2024)
RR
Oklahoma(4/8/2024)
RR
Oregon(4/8/2024)
RR
Pennsylvania(4/8/2024)
RR
Puerto Rico(4/8/2024)
RR
Rhode Island(4/8/2024)
RR
South Carolina(4/8/2024)
RR
South Dakota(4/8/2024)
RR
Tennessee(4/8/2024)
RR
Texas(4/8/2024)
RR
Utah(4/8/2024)
RR
Vermont(4/8/2024)
RR
Virgin Islands(4/8/2024)
RR
Virginia(4/8/2024)
RR
Washington(4/8/2024)
RR
West Virginia(4/8/2024)
RR
Wisconsin(4/8/2024)
RR
Wyoming(4/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/14/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1307 Point Street, Baltimore, MD 21231
Mailing Address
Phone number
(410) 345-2000
Established
Firm type
Fiscal year end
# of Employees
3,947
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.
