Todd R. Valles
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Todd Robert Valles, who also goes by Todd R Valles, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1999. Todd had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2014 - November 28, 2022
T. ROWE PRICE INVESTMENT SERVICES, INC.
December 9, 2010 - February 21, 2013
AST INVESTMENT SERVICES, INC.
December 9, 2010 - February 21, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 2, 2009 - November 8, 2010
WORLD INVESTMENTS, LLC
July 2, 2009 - November 8, 2010
WORLD INVESTMENTS, LLC
June 14, 2004 - July 7, 2009
EQUITABLE ADVISORS, LLC
April 7, 2004 - July 7, 2009
EQUITABLE ADVISORS, LLC
August 20, 2002 - March 16, 2004
NYLIFE DISTRIBUTORS LLC
April 19, 2000 - August 7, 2002
PARK AVENUE SECURITIES LLC
June 28, 1999 - March 14, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
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.
