Brian T. Whalen
Professional summary
Brian T Whalen, who also goes by Brian Thomas Whalen, is a registered financial advisor currently at T. ROWE PRICE ADVISORY SERVICES, INC. located in Owings Mills, Maryland and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Brian has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian T Whalen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 26, 2022 - Present
T. ROWE PRICE ADVISORY SERVICES, INC.
Office #1: Four Financial Center 4525 Painters Mill Road, Owings Mills, MD 21117March 1, 2019 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Four Financial Center 4525 Painters Mill Road, Owings Mills, MD 21117November 27, 2007 - August 1, 2011
MERIDIAN EQUITY PARTNERS, INC.
March 5, 2007 - June 1, 2007
Z&Z SECURITIES INC.
October 4, 2004 - November 28, 2007
ROBERT G. PEARS & CO., INC.
January 3, 2002 - April 29, 2002
LABRANCHE FINANCIAL SERVICES, LLC
May 17, 2001 - October 7, 2004
MONACO BROKERAGE CORPORATION
June 14, 1999 - May 23, 2001
DEUTSCHE BANK SECURITIES INC.
May 21, 1998 - June 14, 1999
DB ALEX. BROWN LLC
August 22, 1997 - May 14, 1998
OSCAR GRUSS & SON INCORPORATED
March 14, 1997 - June 20, 1997
NEBRASKA HUDSON COMPANY, INC.
January 30, 1997 - February 28, 1997
HENDERSON BROTHERS, INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(3/1/2019)
(9/26/2022)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
(4/22/2019)
Exams
Series 7TO
Date: 3/1/2019
General Securities Representative ExaminationSeries 55
Date: 1/23/2008
Limited Representative-Equity Trader ExamSeries 25
Date: 11/1/2001
NYSE Trading Assistant 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.
